-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, R0FNy3dDow8RGN25Wva1ql4Pwt3vQLK4pB284wh0iHnAjI7fSukp534VTJFOd2mU K/RmVUt77xxmtzDd2fe5RA== 0001021408-01-503755.txt : 20020425 0001021408-01-503755.hdr.sgml : 20020425 ACCESSION NUMBER: 0001021408-01-503755 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970609 DATE AS OF CHANGE: 20011129 GROUP MEMBERS: AFFILIATE STKHLDRS OF MORGAN STANLEY DEAN WITTER DISCOVER&CO GROUP MEMBERS: APPENDIX A FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: AFFILIATE STKHLDRS OF MORGAN STANLEY DEAN WITTER DISCOVER&CO CENTRAL INDEX KEY: 0000909465 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 132838811 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 1251 AVE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 2127034000 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MORGAN STANLEY DEAN WITTER & CO CENTRAL INDEX KEY: 0000895421 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 363145972 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-49239 FILM NUMBER: 01686315 BUSINESS ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2127614000 MAIL ADDRESS: STREET 1: 1221 SIXTH AVENUE STREET 2: 27TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 FORMER COMPANY: FORMER CONFORMED NAME: DEAN WITTER DISCOVER & CO DATE OF NAME CHANGE: 19960315 SC 13D/A 1 dsc13da.txt SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Morgan Stanley, Dean Witter, Discover & Co. ------------------------------------------ (Name of Issuer) Common Stock, $.01 par value ---------------------------- (Title of Class of Securities) 617446448 --------- (CUSIP Number) Jonathan M. Clark, Esq. General Counsel and Secretary Morgan Stanley & Co. Incorporated 1585 Broadway New York, NY 10036 (212) 761-4000 ------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) May 31, 1997 ----------------------------------------------------- (Date of Event Which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box: [ ] 1 SCHEDULE 13D CUSIP NO. 617446448 ----------------- - - ------------------------------------------------------------------------------ NAMES OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON Richard B. Fisher - - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - - ------------------------------------------------------------------------------ SEC USE ONLY 3 - - ------------------------------------------------------------------------------ SOURCE OF FUNDS* 4 OO - - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] 5 - - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 United States - - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF less than 1% SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 OWNED BY 94,355,578 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 1-2% PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 - - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 94,360,127 - - ------------------------------------------------------------------------------ CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 12 [_] - - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 15.7 - - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 14 IN - - ------------------------------------------------------------------------------ 2 SCHEDULE 13D CUSIP NO. 617446448 ----------------- - - ------------------------------------------------------------------------------ NAMES OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON Each of the persons described on Appendix A. - - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] (Applies to each person listed on Appendix A) - - ------------------------------------------------------------------------------ SEC USE ONLY 3 ------------------------------------------------------------------------------ SOURCE OF FUNDS* 4 OO (Applies to each person listed on Appendix A) - - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] 5 (Applies to each person listed on Appendix A) - - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 As stated on Apendix A - - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF less than 1% (Applies to each person on Appendix A) SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 94,355,578 (Applies to each person listed on Appendix OWNED BY A) ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING less than 1% (Applies to each person on Appendix A) PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 - - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 As stated on Appendix A. - - ------------------------------------------------------------------------------ CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 12 [_] (Applies to each person listed on Appendix A) - - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 As stated on Appendix A. - - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (See Instructions) 14 IN (Applies to each person listed on Appendix A) - - ------------------------------------------------------------------------------ 3 Appendix A
- - ----------------------------------------------------------------------------------- Line 1 Line 6 Line 11 Line 13 - - ----------------------------------------------------------------------------------- Aggregate Percent of Class Amount Represented By Name Citizenship Beneficially Held Amount in Line 11 - - ----------------------------------------------------------------------------------- Aaron, Debra M United States 94,358,259 15.7% Aaronson, Paul R. United States 94,357,569 15.7% Abdel-Meguid, Tarek F United States 94,358,769 15.7% Abe, Mitsuhiro Japan 94,370,752 15.7% Abrahams, Steven W. United States 94,356,549 15.7% Abramovitz, Debra United States 94,357,713 15.7% Ackerman, Warren, III United States 94,356,266 15.7% Adair, Barry L. United States 94,362,306 15.7% Adams, Charles S. United States 94,355,965 15.7% Adams, John C. United States 94,357,711 15.7% Adams, Nicholas United Kingdom 94,358,059 15.7% Ainsworth, David N. United Kingdom 94,356,308 15.7% Airo, Robert United States 94,357,368 15.7% Akers, Suzanne S. United States 94,357,447 15.7% Akhrass, Jameel K. United States 94,355,896 15.7% Albanese, Tommaso Matteo Italy 94,355,578 15.7% Albers, Alexandria J. United States 94,357,798 15.7% Alkire, John R. United States 94,357,279 15.7% Allery, Stephen A. United Kingdom 94,355,850 15.7% Alley, Steven J. United States 94,358,006 15.7% Allwin, James M United States 94,359,759 15.7% Altman, Emily M. United States 94,356,115 15.7% Altomare, Gerald C. United States 94,355,754 15.7% Anda, Jon A. United States 94,358,351 15.7% Anderson, Stephen J. United States 94,355,578 15.7% Anderson, Steven P United States 94,356,081 15.7% Andryc, Philip J United States 94,358,977 15.7% Anfang, Richard L. United States 94,357,650 15.7% Angevine, Robert E United States 94,358,416 15.7% Arata, Patrick J. United States 94,356,889 15.7% Armitage, Michael R. United Kingdom 94,358,574 15.7% Armstrong, Arden C. United States 94,355,924 15.7% Armstrong, R. Michael United States 94,357,437 15.7% Arthur, Douglas M. United States 94,355,842 15.7% Asprem, Mads Michael Denmark 94,355,771 15.7% Atkins, Charles N. United States 94,357,183 15.7% Atkins, William John United Kingdom 94,355,761 15.7% Atkinson, Richard N. United Kingdom 94,356,386 15.7% Attorri, Gregory J. United States 94,356,051 15.7% Atwell, R. Wayne United States 94,357,447 15.7% Auerbach, Neil Z. United States 94,355,860 15.7% Bachiller, Francisco Spain 94,355,615 15.7% Bachynski, Marianne United States 94,357,566 15.7% Baker, Kurt A. United States 94,355,837 15.7% Balgarnie, Andrew J. United Kingdom 94,357,056 15.7% Ballantyne, Alastair I. United Kingdom 94,357,983 15.7% Bandeen, R. Derek Canada 94,357,962 15.7% Barancik, Gary S. United States 94,357,501 15.7% Barden, Robert A United States 94,357,711 15.7% Bardong, Shawn P. United States 94,360,414 15.7% Bardonnet, Emmanuel France 94,355,630 15.7% Bardwell, Timothy J. United Kingdom 94,359,828 15.7% Barker, Francis B. United States 94,357,206 15.7% Barker, Rodney J. United Kingdom 94,355,675 15.7% Barnett, Phillip S United States 94,357,368 15.7% - - ------------------------------------------------------------------------------------
4
- - ------------------------------------------------------------------------------------ Line 1 Line 6 Line 11 Line 13 - - ------------------------------------------------------------------------------------ Aggregate Percent of Class Amount Represented By Name Citizenship Beneficially Held Amount in Line 11 - - ------------------------------------------------------------------------------------ Baroudi, Jack J. United States 94,356,101 15.7% Barrett, David J. United States 94,357,576 15.7% Barrett, Kenneth W. United States 94,355,578 15.7% Barrett, Timothy United Kingdom 94,356,569 15.7% Barsky, Neil S. United States 94,356,299 15.7% Barth-Wehrenalp, Gerald P. United States 94,357,897 15.7% Bartlett, Michael E. United Kingdom 94,355,578 15.7% Bartlett, Philip S. United States 94,357,427 15.7% Bases, Edward H United States 94,357,289 15.7% Basirov, Olga A. United Kingdom 94,359,366 15.7% Bayer, Jerome W. United States 94,358,095 15.7% Bearden, David A. United States 94,357,407 15.7% Bechtel, Karen H United States 94,359,686 15.7% Becker, Glenn E. United States 94,355,924 15.7% Bedell, James M. United States 94,357,119 15.7% Behler, Richard M. United States 94,355,604 15.7% Bejjani, Ghassan J Lebanon 94,357,364 15.7% Belgrad, Stephen H. United States 94,356,840 15.7% Bell, Andrew J. United Kingdom 94,355,578 15.7% Bell, James J United States 94,356,934 15.7% Bello, Rafael Canada 94,356,223 15.7% Benardete, Steven M United States 94,363,531 15.7% Beneke, John United States 94,357,534 15.7% Bennett, Thomas L. United States 94,355,881 15.7% Berchtold, Michael J. United States 94,357,498 15.7% Bergman, Jerome United States 94,357,752 15.7% Berler, Matthew K. United States 94,356,257 15.7% Best, Eric P. United States 94,355,578 15.7% Bianco, Frank United States 94,357,861 15.7% Biert, Gisep Switzerland 94,355,578 15.7% Biggs, Barton M United States 94,360,019 15.7% Bigman, Theodore R. Canada 94,355,757 15.7% Bilgore, Bradley Alan United States 94,356,774 15.7% Bilotti, Richard A., JR. United States 94,356,201 15.7% Bilsby, Kevin A. United Kingdom 94,357,569 15.7% Birnbaum, Jeffrey M. United States 94,356,495 15.7% Black, Susan Mackinnon United States 94,358,079 15.7% Blain, Paul F. United Kingdom 94,355,578 15.7% Blair, David H United States 94,355,888 15.7% Blais, William L United States 94,357,731 15.7% Blau, Andrew M. United States 94,356,614 15.7% Blum, Jon E. United States 94,356,295 15.7% Blumstein, Michael W. United States 94,356,992 15.7% Bodson, Michael C. United States 94,357,963 15.7% Boggs, E. Clayton United States 94,355,924 15.7% Boiarsky, Robert United States 94,357,517 15.7% Bonafide, Robert M. United States 94,357,450 15.7% Bopp, Walter S United States 94,359,344 15.7% Borosh, David A. United States 94,356,680 15.7% Bosco, Anthony B. United States 94,357,653 15.7% Boublik, Michael J. United States 94,357,003 15.7% Boucher, Charles L., II United States 94,356,879 15.7% Bouyoucos, Peter J. United States 94,355,777 15.7% Bovich, Francine J. United States 94,356,591 15.7% Boyer, Amy A. United States 94,355,812 15.7% - - -----------------------------------------------------------------------------------
5
- - -------------------------------------------------------------------------------------- Line 1 Line 6 Line 11 Line 13 - - -------------------------------------------------------------------------------------- Aggregate Percent of Class Amount Represented By Name Citizenship Beneficially Held Amount in Line 11 - - -------------------------------------------------------------------------------------- Bradford, Leslie Embs United States 94,359,544 15.7% Bradley, Mark H. United States 94,357,036 15.7% Bradway, Robert A. United States 94,356,952 15.7% Brakebill, Scott R United States 94,358,351 15.7% Brawer, Steven A. United States 94,356,437 15.7% Brennan, Donald Patrick United States 94,359,780 15.7% Breslow, Stuart J.M. United States 94,357,934 15.7% Brewer, Simon United Kingdom 94,355,870 15.7% Brickman, Keith D. United States 94,356,761 15.7% Brierwood, David C United Kingdom 94,372,734 15.7% Brille, Brian J. United States 94,357,501 15.7% Broadbent, Peregrine Charles United Kingdom 94,356,351 15.7% Broberg, Christian P Denmark 94,355,653 15.7% Brock, William G. Canada 94,392,472 15.7% Brodheim, Theodore K. United States 94,355,578 15.7% Brodsky, Jeffrey S. United States 94,357,173 15.7% Brolley, Kevin United States 94,357,120 15.7% Brombach, Theodore J. United States 94,356,714 15.7% Brooke, Paul A United States 94,359,188 15.7% Brous, Leonard United States 94,357,317 15.7% Brown, Andrew C. United States 94,356,195 15.7% Brown, Douglas L. United States 94,356,797 15.7% Brown, Ernest W. United States 94,356,289 15.7% Brown, Jeffry P. United States 94,357,817 15.7% Brown, Keith United Kingdom 94,394,365 15.7% Brown, Randolph B. United States 94,356,185 15.7% Browne, Kevin J. United States 94,357,962 15.7% Brundler, Adolf Switzerland 94,355,578 15.7% Bryant, Malcolm P. United Kingdom 94,359,310 15.7% Bryce, Colin United Kingdom 94,356,832 15.7% Buck, Lee M United States 94,367,139 15.7% Buechter, Markus Germany 94,355,665 15.7% Bulchandani, Ravi A India 94,356,117 15.7% Buovolo, Anthony J United States 94,357,721 15.7% Burdick, Leigh S. United States 94,356,478 15.7% Burke, Lauren M. United States 94,356,322 15.7% Burns, Dennis J United States 94,359,344 15.7% Busch, May C. United States 94,358,196 15.7% Byrd, Caren United States 94,357,709 15.7% Caffrey, Timothy J. United States 94,356,964 15.7% Cahill, Thomas F., JR. United States 94,356,703 15.7% Caldecott, P.Dominic United Kingdom 94,356,568 15.7% Callahan, Daniel H. United States 94,356,145 15.7% Campbell, Laurie G. Canada 94,356,440 15.7% Campbell, Randall S. United States 94,356,919 15.7% Campion, Frances Ireland 94,355,578 15.7% Cappucci, Guy T United States 94,357,287 15.7% Caputo, A Macdonald United States 94,359,802 15.7% Caracappa, Mary United States 94,357,529 15.7% Carey, James P United States 94,358,086 15.7% Carleton, Bruce T. United States 94,359,297 15.7% Carlin, Jane D. United States 94,357,732 15.7% Carmichael, Terence P United States 94,357,909 15.7% Carr, Louis J, JR United States 94,359,866 15.7% Carrafiell, John A. United States 94,357,099 15.7% - - --------------------------------------------------------------------------------------
6
- - ------------------------------------------------------------------------------------- Line 1 Line 6 Line 11 Line 13 - - ------------------------------------------------------------------------------------- Aggregate Percent of Class Amount Represented By Name Citizenship Beneficially Held Amount in Line 11 - - ------------------------------------------------------------------------------------- Carroll, Allan R. United States 94,355,863 15.7% Carroll, David C. United States 94,357,419 15.7% Carroll, Jesse L, JR United States 94,372,642 15.7% Carroll, John E United States 94,355,987 15.7% Carruthers, Alan Thomas United Kingdom 94,355,578 15.7% Caruso, Christopher J. United States 94,357,851 15.7% Cashel, Michael Sean United States 94,356,437 15.7% Casper, Robert Y. United States 94,356,026 15.7% Cassedy, Michael J United States 94,358,625 15.7% Cassou, Beatrice M. United States 94,357,501 15.7% Castellano, Richard R United States 94,358,288 15.7% Caufield, Patrick J. United States 94,355,711 15.7% Cawsey, Richard Australia 94,356,194 15.7% Certosimo, Arthur United States 94,355,886 15.7% Chamberlain, Paul E. United States 94,357,061 15.7% Chamberlain, Stephen P United Kingdom 94,362,488 15.7% Chammah, Walid A. Lebanon 94,356,520 15.7% Chan, Oliver S. United States 94,357,213 15.7% Chandler, Elizabeth R United States 94,356,704 15.7% Chaney, Eric France 94,355,578 15.7% Chang, Victor United States 94,356,016 15.7% Chasin, Charles United States 94,357,709 15.7% Chenevix-Trench, Jonathan United Kingdom 94,360,425 15.7% Chester, John E, III United States 94,357,817 15.7% Chiarello, Guy United States 94,357,643 15.7% Chin, Ean Wah Malaysia 94,355,578 15.7% Chirls, Catherine E. United States 94,356,521 15.7% Christianakis, Leonidas Ioanni United Kingdom 94,355,578 15.7% Chui, Vincent Y C Hong Kong 94,355,578 15.7% Churchouse, Frederick P New Zealand 94,355,578 15.7% Chutter, Jessica C. Canada 94,357,323 15.7% Citrino, Mary Anne United States 94,357,572 15.7% Clark, Jonathan M. United States 94,356,873 15.7% Clark, Mayree C. United States 94,359,188 15.7% Clark, William Thomas United States 94,363,456 15.7% Clemente La Brum, John P United States 94,357,597 15.7% Clephane, Thomas P United States 94,359,168 15.7% Clifford, Kenneth F United States 94,357,690 15.7% Cobby, Nigel United Kingdom 94,359,646 15.7% Cohan, Timothy P United States 94,358,671 15.7% Cohen, Bruce L United States 94,358,090 15.7% Cohen, David L United States 94,358,280 15.7% Cohen, Robert A. United States 94,356,855 15.7% Cohen, Stephen A. United States 94,355,693 15.7% Colby-Jones, Lisa R United States 94,358,348 15.7% Cole, James S United States 94,359,117 15.7% Coleman, Christopher John United Kingdom 94,355,578 15.7% Coleman, Kevin P. United States 94,355,736 15.7% Coleman, Maureen E. United States 94,357,152 15.7% Coley, James C., II United States 94,357,642 15.7% Colman, Mark M. United States 94,357,473 15.7% Colosimo, Louis A. United States 94,356,516 15.7% Comfort, Stephanie G. United States 94,356,568 15.7% Connolly, John D. United States 94,355,924 15.7% Connor, Mary T United States 94,357,485 15.7% - - -------------------------------------------------------------------------------------
7
- - ------------------------------------------------------------------------------------- Line 1 Line 6 Line 11 Line 13 - - ------------------------------------------------------------------------------------- Aggregate Percent of Class Amount Represented By Name Citizenship Beneficially Held Amount in Line 11 - - ------------------------------------------------------------------------------------- Conway, Andrew J. United States 94,355,578 15.7% Cook, Charles R United States 94,357,450 15.7% Coombe, Christopher John United Kingdom 94,355,630 15.7% Cooper, Alastair W.P. United Kingdom 94,357,472 15.7% Cooper, Scott H. Canada 94,357,610 15.7% Cordner, Carter W. United States 94,357,807 15.7% Cordy, Stephen C United States 94,357,635 15.7% Corsi, Stefano Italy 94,356,591 15.7% Cory, Charles R United States 94,358,396 15.7% Cox, Christopher United Kingdom 94,356,440 15.7% Cox, Kevin C. United States 94,357,252 15.7% Coyner, Kevin B. United States 94,357,627 15.7% Crane-Griffith, Elizabeth United States 94,357,171 15.7% Crawford, Stephen S. United States 94,357,252 15.7% Crespi, Marc United States 94,355,924 15.7% Crnkovich, Peter N. United States 94,358,265 15.7% Croft, Robert G.E. United Kingdom 94,356,742 15.7% Crompton, Bradley Canada 94,355,578 15.7% Crompton, John D. United Kingdom 94,357,138 15.7% Crowder, Garry B. United States 94,358,127 15.7% Cruz, Zoe Greece 94,359,188 15.7% Cunningham, Michael John United Kingdom 94,356,191 15.7% Cunningham, Peter United Kingdom 94,357,901 15.7% Cunningham, Stephen M. United States 94,355,578 15.7% Curtis, Michael S United States 94,357,432 15.7% Curtis, Paul D United States 94,357,516 15.7% Czinsky, Michael J United States 94,357,648 15.7% D'Antonio, Stephen H. United States 94,357,492 15.7% Dal Lago, Frank C United States 94,357,660 15.7% Daniel, Paul R United Kingdom 94,357,138 15.7% Davidson, John H United States 94,358,902 15.7% Davidson, John P., III United States 94,356,317 15.7% Davidson, Norton A, III United States 94,380,712 15.7% Davidson, Richard Gavin United Kingdom 94,356,398 15.7% Davies, Peter E. United States 94,356,226 15.7% Davis, Barry United States 94,358,739 15.7% Davis, Joseph F., JR United States 94,357,741 15.7% Day, Jacqueline A. United Kingdom 94,357,850 15.7% Day, Paul A. United Kingdom 94,356,122 15.7% De Chazal, Guy L. United States 94,359,117 15.7% De Montfort, Piers United Kingdom 94,371,374 15.7% De Saint-Aignan, Patrick United States 94,359,686 15.7% Dean, Angela H. United Kingdom 94,356,069 15.7% Dean, Gordon G. United States 94,357,615 15.7% Dedomenico, Edward J. United States 94,356,602 15.7% Dee, Michael E. United States 94,357,429 15.7% Deforest, Laura I. United States 94,356,360 15.7% Denaut, Anne S. United States 94,357,206 15.7% Denaut, James A. United States 94,355,578 15.7% Derbes, Richard A United States 94,449,365 15.7% Deregt, Kenneth M. United States 94,359,686 15.7% Desalvo, Matthew S. United States 94,357,706 15.7% Dewan, Hasanat M. Bangladesh 94,356,038 15.7% Dewolfe, D. James United States 94,363,142 15.7% Dey, Peter J. Canada 94,355,578 15.7% - - -------------------------------------------------------------------------------------
8
- - ------------------------------------------------------------------------------------ Line 1 Line 6 Line 11 Line 13 - - ------------------------------------------------------------------------------------ Aggregate Percent of Class Amount Represented By Name Citizenship Beneficially Held Amount in Line 11 - - ------------------------------------------------------------------------------------ Dhar, Madhav India 94,360,138 15.7% Diaz-Perez, Eduardo United States 94,357,330 15.7% Dickman, Michael J United States 94,357,368 15.7% Din, Stephen Trevor United Kingdom 94,355,663 15.7% Dinger, Jeffrey E United States 94,357,587 15.7% Ditkoff, Charles J. United States 94,356,041 15.7% Dixon, Robert D United States 94,356,827 15.7% Doha, Naseer Bangladesh 94,355,578 15.7% Donoghue, Geoffrey M. Canada 94,357,595 15.7% Donoghue, Michael J. United States 94,357,513 15.7% Donovan, Peter J. United States 94,356,883 15.7% Doran, William M, JR United States 94,359,188 15.7% Dorfman, Jonathan L United States 94,357,515 15.7% Dortone, Dana L. United States 94,355,924 15.7% Doshi, Mihir J United States 94,357,289 15.7% Drayson, Timothy Seccombe United Kingdom 94,356,091 15.7% Driscoll, Thomas P. United States 94,356,622 15.7% Dube, Raye L. United States 94,357,117 15.7% Dubeck, Michael R. United States 94,355,936 15.7% Duff, Philip N United States 94,358,288 15.7% Dunn, Kenneth B. United States 94,355,881 15.7% Dyal, Gordon E. United States 94,357,157 15.7% Earnshaw, Scott D. United States 94,356,259 15.7% Ebers-Franckowiak, Gay L. United States 94,355,578 15.7% Eichorn, Mark D. United States 94,356,143 15.7% Eifler, Carl M. United States 94,355,804 15.7% Elliott, James G. United States 94,357,729 15.7% Elmaghrabi, Ehab E. United States 94,357,056 15.7% Elmasry, Hassan United States 94,355,863 15.7% Engebretson, Kathryn J. United States 94,355,924 15.7% English, Frank E, JR United States 94,358,625 15.7% Epstein, Patricia N. United States 94,357,571 15.7% Epstein, Stuart J United States 94,357,188 15.7% Erb, William F. United States 94,357,020 15.7% Ertman, Andrew C. United States 94,357,010 15.7% Esaki, Howard Y. United States 94,356,469 15.7% Esquivel, Josephine R. United States 94,355,799 15.7% Esser, Stephen F. United States 94,355,924 15.7% Essig, Karl P United States 94,363,484 15.7% Estes, Susan M. United States 94,357,812 15.7% Evans, R Bradford United States 94,360,085 15.7% Ewell, C. Daniel United States 94,357,501 15.7% Fadel, James P. United States 94,355,578 15.7% Fagen, Brian R. United States 94,356,808 15.7% Fagen, Robert A United States 94,357,648 15.7% Falls, Amy C. United States 94,356,018 15.7% Fan, Linda C United States 94,357,539 15.7% Fanelli, Peter R. United States 94,357,001 15.7% Fanlo, Ignacio J. United States 94,356,434 15.7% Fappiano, Maryann United States 94,357,553 15.7% Fareri, Robert United States 94,357,298 15.7% Faulkner, John H. United States 94,356,135 15.7% Fawcett, Amelia C. United States 94,357,767 15.7% Fear, Oliver United Kingdom 94,356,464 15.7% Feder, Abigail Jones United States 94,357,297 15.7% - - ------------------------------------------------------------------------------------
9
- - ------------------------------------------------------------------------------------ Line 1 Line 6 Line 11 Line 13 - - ------------------------------------------------------------------------------------ Aggregate Percent of Class Amount Represented By Name Citizenship Beneficially Held Amount in Line 11 - - ------------------------------------------------------------------------------------ Federico, Giacomo United States 94,356,457 15.7% Feeley, Mark J United States 94,357,544 15.7% Feenick, Anthony W. United States 94,357,477 15.7% Feldman, Kirsten J Canada 94,358,656 15.7% Feldman, Robert A. United States 94,355,578 15.7% Feldmann, Joel P. United States 94,356,139 15.7% Felix, Richard B United States 94,359,816 15.7% Fernandez, Henry A United States 94,357,105 15.7% Ferriso, Peter W. United States 94,356,353 15.7% Feuerman, Kurt A. United States 94,358,069 15.7% Ficke, Mark D. United States 94,357,551 15.7% Fiedorek, Bruce D United States 94,359,759 15.7% Field-Marsham, Scott R. Canada 94,357,414 15.7% Finnegan, Daniel M. United States 94,356,934 15.7% Fisher, George Ross, IV United States 94,361,168 15.7% Fitzpatrick, Steven B. United States 94,357,305 15.7% Flanagan, Malachi J., JR. United States 94,355,703 15.7% Flannery, Hugh J. United States 94,357,034 15.7% Flaum, James E. United States 94,356,061 15.7% Fleischer, Spencer C United States 94,359,145 15.7% Flood, Eugene, JR United States 94,357,983 15.7% Flynn, Thomas J United States 94,357,784 15.7% Foland, Steven R. United States 94,356,147 15.7% Foley, Jake United States 94,356,124 15.7% Foley, Joseph G. United States 94,356,860 15.7% Fortier, Michael Albert United States 94,355,739 15.7% Foster, Cedric G. United States 94,358,930 15.7% Foster, Michael E. United States 94,355,883 15.7% Fox, Nigel Jonathan Paget United Kingdom 94,357,531 15.7% Fralick, James S United States 94,363,861 15.7% Frame, Thomas C. United States 94,355,578 15.7% Francescotti, Mario United Kingdom 94,368,552 15.7% Francois-Poncet, Andre France 94,355,578 15.7% Frank, Alexander C. United States 94,357,518 15.7% Freeman, Ivan K United States 94,357,932 15.7% Fried, Peter C. United States 94,357,628 15.7% Friedman, Catherine J. United States 94,357,610 15.7% Friedman, Philip W. United States 94,357,782 15.7% Friend, Warren H United States 94,357,539 15.7% Frost, Ronald X United States 94,357,850 15.7% Fung, E. Michael Hong Kong 94,355,578 15.7% Futaki, Akifumi Japan 94,362,797 15.7% Gaffney, Monica Josephine Ireland 94,355,578 15.7% Gaillard, Vincent M. J. France 94,355,578 15.7% Gajendragadkar, Dilip S. India 94,356,589 15.7% Gale, Andrew United Kingdom 94,357,066 15.7% Galgano, V James United States 94,357,823 15.7% Galper, Myron United States 94,357,836 15.7% Gandhi, Vikram S India 94,357,031 15.7% Gantsoudes, James G United States 94,356,287 15.7% Garber, Victor S United States 94,358,434 15.7% Gardiner, Kevin Leslie United Kingdom 94,355,972 15.7% Garrison, Robert E. United States 94,357,472 15.7% Gartin, Clinton G United States 94,363,560 15.7% Gartland, Robert F United States 94,359,686 15.7% - - ------------------------------------------------------------------------------------
10
- - -------------------------------------------------------------------------------------- Line 1 Line 6 Line 11 Line 13 - - -------------------------------------------------------------------------------------- Aggregate Percent of Class Amount Represented By Name Citizenship Beneficially Held Amount in Line 11 - - -------------------------------------------------------------------------------------- Gault, Bernard France 94,355,578 15.7% Gauntt, Robert P. United States 94,355,578 15.7% Genova, Lisa A. United States 94,357,459 15.7% George, Patrick Robert France 94,355,578 15.7% Germany, J. David United States 94,355,924 15.7% Gerner, Rolf Michael Germany 94,355,578 15.7% Ghaffari, Paul B. United States 94,356,488 15.7% Gibson, Michael Switzerland 94,355,578 15.7% Gibson, Thomas C United States 94,355,578 15.7% Girsky, Stephen J. United States 94,355,767 15.7% Glas, Michel T. France 94,355,680 15.7% Glascott, James D. United States 94,357,589 15.7% Goldberg, Alan E United States 94,359,344 15.7% Golding, David R. United States 94,355,578 15.7% Goldrich, Robert F. United States 94,366,994 15.7% Goldstein, Carol S United States 94,357,450 15.7% Gordon, Marc W United States 94,357,945 15.7% Gorman Taylor, Jessica G. United States 94,357,525 15.7% Gort, Michael A. United States 94,357,919 15.7% Gould, Richard G., III United States 94,391,479 15.7% Graflund, Scott R. United States 94,357,063 15.7% Graham, Gilles United Kingdom 94,355,657 15.7% Graham, James R. Ireland 94,359,318 15.7% Grant, Adam D. United Kingdom 94,355,668 15.7% Gray, Gordon S United States 94,359,686 15.7% Gray, Stephen Edward United Kingdom 94,356,333 15.7% Greenberg, Edward M. United States 94,356,800 15.7% Greenlaw, David J. United States 94,357,119 15.7% Greenshields, Simon United Kingdom 94,358,402 15.7% Greenwald, Jamie United States 94,355,903 15.7% Gremont, Arnaud Jean-Marie France 94,355,578 15.7% Grimes, Michael D. United States 94,355,723 15.7% Grinnell, Christopher C. United States 94,357,435 15.7% Grisham, James Wayne United States 94,356,828 15.7% Groesbeck, Jonathan M. United States 94,355,777 15.7% Grogan, Matthew J. United States 94,355,974 15.7% Grohskopf, Robert H., JR United States 94,357,379 15.7% Gronquist, Catherine D United States 94,357,686 15.7% Gros, Francisco R.A. Brazil 94,356,478 15.7% Grzeczka, Keith L. United States 94,357,442 15.7% Gulley, Mark R United States 94,357,770 15.7% Gully, Joshua P. United States 94,356,165 15.7% Gutheim, Paul G. United States 94,357,762 15.7% Haffner, Lynn Carlos United States 94,360,381 15.7% Hafstad, Einar F. United States 94,355,578 15.7% Hager, Francis J United States 94,357,599 15.7% Hagin, Robert L. United States 94,355,881 15.7% Haguenauer, Olivier P. France 94,356,096 15.7% Hahn, John C United States 94,356,968 15.7% Hall, C. Barrows United States 94,359,188 15.7% Hall, Perry E., II United States 94,358,292 15.7% Halliday, Christopher I United Kingdom 94,355,578 15.7% Hamidi, Shahram Iran 94,357,067 15.7% Hamilton, Peter F United States 94,357,815 15.7% Hammond, Paul United Kingdom 94,355,634 15.7% - - --------------------------------------------------------------------------------------
11
- - ----------------------------------------------------------------------------------- Line 1 Line 6 Line 11 Line 13 - - ----------------------------------------------------------------------------------- Aggregate Percent of Class Amount Represented By Name Citizenship Beneficially Held Amount in Line 11 - - ----------------------------------------------------------------------------------- Hancock, Mark R. United States 94,357,378 15.7% Haney, William C United States 94,359,617 15.7% Hanlon, John P. United States 94,355,776 15.7% Hantho, Mark A. Canada 94,355,670 15.7% Happel, Michael A United States 94,357,368 15.7% Hara, Fusao Japan 94,478,334 15.7% Hardie, Iain Richard United Kingdom 94,355,578 15.7% Harding, William J. United States 94,355,998 15.7% Hardy, Michael W. United States 94,357,503 15.7% Harland, Christopher M United States 94,358,158 15.7% Harman, William R United States 94,358,774 15.7% Harms, Thomas K., JR United States 94,357,196 15.7% Harpe, Michael G. Canada 94,357,607 15.7% Harrington, Anna R. United States 94,356,353 15.7% Harris, Carla A. United States 94,357,343 15.7% Harris, W. Brooks United States 94,356,812 15.7% Harvey, Ellen D. United States 94,355,578 15.7% Hassen, Thomas E. United States 94,359,082 15.7% Hatfield, Jay D United States 94,357,252 15.7% Havens, John P. United States 94,359,188 15.7% Hawkins, Chris Alan United Kingdom 94,355,756 15.7% Hay, Marianne Laing United Kingdom 94,356,099 15.7% Hayashi, Kazushi Japan 94,373,849 15.7% Hayes, David L. United States 94,356,934 15.7% Hayes, Mary-Anne Australia 94,355,954 15.7% Hayes, Michael A. United Kingdom 94,355,660 15.7% Haythe, David O United States 94,359,927 15.7% Hedlund, Mats Mikael Sweden 94,355,975 15.7% Hegglin, Daniel R Switzerland 94,371,134 15.7% Hendel, Stuart J. United States 94,357,246 15.7% Hendry, Daniele N. Switzerland 94,355,578 15.7% Henkel, Eleni D. United States 94,357,145 15.7% Hennemuth, Bruce W. United States 94,357,645 15.7% Hennessy, Miguel E. United States 94,356,980 15.7% Hennigan, Patrick J. United States 94,356,010 15.7% Hepburn, John K Canada 94,399,514 15.7% Hershy, Robert J United States 94,357,338 15.7% Herskovitz, Michael D. United States 94,356,176 15.7% Hevner, John D. United States 94,355,894 15.7% Heyes, Richard C. United Kingdom 94,356,657 15.7% Higgins, William X United States 94,358,450 15.7% Hilder, David B. United States 94,356,134 15.7% Hill, Joseph W, II United States 94,358,826 15.7% Hilzenrath, Eugene B United States 94,357,551 15.7% Hirsch, Steven E. United States 94,357,813 15.7% Hirschfeld, David J. United States 94,355,578 15.7% Hirshorn, William D. United States 94,357,013 15.7% Hirst, Julian Clement United Kingdom 94,355,578 15.7% Hoch, James S. United States 94,357,610 15.7% Hoch, Kenneth C United States 94,357,777 15.7% Hoffen, Howard I. United States 94,357,252 15.7% Hoffman, Michael C. United States 94,357,567 15.7% Hogan, Jeffrey N. United States 94,355,578 15.7% Hollihan, John P, III United States 94,358,120 15.7% Holzschuh, Jeffrey R United States 94,358,249 15.7% - - -----------------------------------------------------------------------------------
12
- - ------------------------------------------------------------------------------------- Line 1 Line 6 Line 11 Line 13 - - ------------------------------------------------------------------------------------- Aggregate Percent of Class Amount Represented By Name Citizenship Beneficially Held Amount in Line 11 - - ------------------------------------------------------------------------------------- Hoornweg, Roberto Netherlands 94,356,726 15.7% Hornbeck, Geoffrey H. United States 94,356,290 15.7% Hosler, C. William United States 94,357,010 15.7% Houston, James S. United States 94,355,578 15.7% Howland, Christopher John United Kingdom 94,355,657 15.7% Hsieh, Jackson United States 94,356,018 15.7% Hu, Wei-Chung Bradford Taiwan 94,357,173 15.7% Huang, Susan S. United States 94,356,945 15.7% Huffman, Randall C United States 94,357,373 15.7% Hughes-Guden, Ruth A. United States 94,355,578 15.7% Humphery, Marye L. United Kingdom 94,355,578 15.7% Huneke, John H, III United States 94,358,132 15.7% Huntley, Kristen S. United States 94,357,501 15.7% Hyman, John Edward United Kingdom 94,356,223 15.7% Imanishi, Jun Japan 94,414,049 15.7% Ip, Honsum Hong Kong 94,355,578 15.7% Ireland, Jenny Fiona United Kingdom 94,355,578 15.7% Irish, John S. United States 94,357,218 15.7% Isasi, Luis Spain 94,357,749 15.7% Ishikawa, Hiroshi Japan 94,364,731 15.7% Ivey, Tracey H. United States 94,355,924 15.7% Jabbour, Reynold A. United States 94,355,578 15.7% Jacobs, David A. United States 94,356,315 15.7% Jalouneix, Olivier France 94,355,578 15.7% James, George Michael United States 94,374,509 15.7% James, Melissa E United States 94,357,147 15.7% Jamesley, Karen C. United States 94,357,315 15.7% Janson, Michael M. United States 94,362,356 15.7% Jarvis, Timothy E. United States 94,356,952 15.7% Jodka, Jonathan D United States 94,356,894 15.7% Johansson, Jerker M. Sweden 94,356,744 15.7% Johnson, David United States 94,357,655 15.7% Johnson, David L. United States 94,355,578 15.7% Johnson, Margaret Kinsley United States 94,357,185 15.7% Johnson, R Sheldon United States 94,359,344 15.7% Johnson, Theodore J. United States 94,355,851 15.7% Jones, Alan K. United States 94,356,371 15.7% Jones, Andrew C. United States 94,357,020 15.7% Jones, David G. United States 94,355,700 15.7% Jones, Robert W United States 94,364,636 15.7% Joseph, Ravindra J. Sri Lanka 94,357,449 15.7% Jouhar, Kelvin Jan United Kingdom 94,355,578 15.7% Joyce, Richard E, JR United States 94,357,470 15.7% Juterbock, Thomas M United States 94,360,072 15.7% Kagan, Samuel J. Canada 94,356,832 15.7% Kageyama, Toshiji Japan 94,362,945 15.7% Kamen, Eric M United States 94,358,417 15.7% Kamins, Harold W. United States 94,357,211 15.7% Kanellitsas, John A. United States 94,356,762 15.7% Kani, Takeo Japan 94,403,302 15.7% Kaplan, Stephanie B. United States 94,356,041 15.7% Karches, Peter F United States 94,360,127 15.7% Kary, Mark R. United Kingdom 94,355,578 15.7% Kassin, Philip United States 94,358,181 15.7% Katsihtis, Paul E. United States 94,357,195 15.7% - - -------------------------------------------------------------------------------------
13
- - ------------------------------------------------------------------------------------- Line 1 Line 6 Line 11 Line 13 - - ------------------------------------------------------------------------------------- Aggregate Percent of Class Amount Represented By Name Citizenship Beneficially Held Amount in Line 11 - - ------------------------------------------------------------------------------------- Kauffman, Richard L. United States 94,356,635 15.7% Kay, S. Carolyn H. Australia 94,355,578 15.7% Kayello, Sammy Lebanon 94,356,746 15.7% Kazazes, Thomas P. United States 94,356,769 15.7% Keane, Michael David United Kingdom 94,355,673 15.7% Keays, Thomas R. United States 94,357,559 15.7% Keeler, Paul J., JR. United States 94,356,655 15.7% Keep, Ann United Kingdom 94,359,204 15.7% Kelleher, Colm Thomas United Kingdom 94,357,480 15.7% Kelley, Scott M. United States 94,357,501 15.7% Kelley, Sean P. United States 94,357,033 15.7% Kelly, Christopher R. United States 94,356,135 15.7% Kelly, George J United States 94,358,188 15.7% Kelly, Kevin M. United States 94,357,424 15.7% Kelly, Timothy D. United States 94,357,684 15.7% Kemp, Stephen C. United Kingdom 94,355,578 15.7% Kennedy, Catherine A. United States 94,356,002 15.7% Kennedy, Douglas A. Canada 94,357,379 15.7% Kent, Claire United Kingdom 94,355,578 15.7% Kent, David Australia 94,355,578 15.7% Kent, Ronald S. United Kingdom 94,363,677 15.7% Key, Nigel R. United States 94,355,797 15.7% Khadjavi, Laya Iran 94,357,429 15.7% Kidwell, Jeffrey S United States 94,357,713 15.7% Kilcoyne, Moira A. United States 94,356,993 15.7% Kimak, Mark M United States 94,357,869 15.7% Kimball, Paul G United States 94,359,686 15.7% Kimball, Richard A., JR United States 94,357,252 15.7% Kimeda, Toshio Japan 94,369,758 15.7% Kindred, Jonathan B United States 94,357,932 15.7% King, Nancy A. United States 94,356,983 15.7% King, William T United States 94,357,086 15.7% Kingston, Douglas P., III United States 94,357,508 15.7% Kinkead, Brian M. United States 94,357,610 15.7% Kinmont, Alexander United Kingdom 94,355,893 15.7% Kircher, Hillary E. United States 94,356,082 15.7% Kirkland, Derek G. United States 94,357,813 15.7% Kishimoto, Satoshi Japan 94,554,263 15.8% Kitts, Robert W. United States 94,356,365 15.7% Klaedtke, Patrick G. Germany 94,355,578 15.7% Klein, Michael F. United States 94,355,693 15.7% Kloppenborg, Robert W United States 94,357,521 15.7% Knowles, James H L Canada 94,355,733 15.7% Koederitz, Candice E United States 94,359,341 15.7% Koenen, Austin V United States 94,359,031 15.7% Koerling, Heinrich Germany 94,376,790 15.7% Kohnhorst, Adolf Netherlands 94,355,662 15.7% Konolige, Kit United States 94,356,165 15.7% Koppenol, Robert G. United States 94,357,518 15.7% Kourakos, William United States 94,358,066 15.7% Kovich, Nicholas J. United States 94,355,924 15.7% Kraft, Joseph A., JR. United States 94,362,059 15.7% Krammer, Marlene G. United States 94,357,782 15.7% Kreider, Steven K. United States 94,355,881 15.7% Kressner, J. Thomas Sweden 94,360,264 15.7% - - -------------------------------------------------------------------------------------
14
- - ------------------------------------------------------------------------------------- Line 1 Line 6 Line 11 Line 13 - - ------------------------------------------------------------------------------------- Aggregate Percent of Class Amount Represented By Name Citizenship Beneficially Held Amount in Line 11 - - ------------------------------------------------------------------------------------- Krom, Frederick B, III United States 94,358,739 15.7% Kronenberg, Anne C United States 94,357,459 15.7% Kupferberg, Barry D. United States 94,357,368 15.7% Kurtz, Patricia A. United States 94,357,911 15.7% Kushma, Debra A F United States 94,356,888 15.7% Kushma, Michael B. United States 94,357,223 15.7% La Roche, Elaine United States 94,359,686 15.7% Ladd, Susan C. United States 94,357,657 15.7% Lafaman, James T United States 94,357,440 15.7% Laird, Jo Backer United States 94,358,392 15.7% Lal, Naina India 94,355,578 15.7% Lamountain, Jon United States 94,357,952 15.7% Lancksweert, Dominique Belgium 94,355,578 15.7% Landers, John Q., JR. United States 94,357,407 15.7% Landman, David United States 94,357,718 15.7% Landry, Brenda Lee United States 94,365,078 15.7% Landry, Christina M. United States 94,359,755 15.7% Langford, Thomas R. United States 94,355,967 15.7% Langsam, Joseph A. United States 94,358,185 15.7% Langston, Willie United States 94,355,578 15.7% Lap, Michiel P Netherlands 94,356,277 15.7% Larkins, Gary T. United States 94,358,191 15.7% Larkins, Robert J United States 94,357,582 15.7% Lashendock, Michael J United States 94,357,673 15.7% Latainer, Gary D United States 94,358,790 15.7% Latif, Nadir S. United Kingdom 94,356,432 15.7% Layng, John G United States 94,357,861 15.7% Leach, Brian United States 94,357,991 15.7% Leblanc, Paul L United States 94,357,739 15.7% Lebowitz, Michael United States 94,357,701 15.7% Lefkowitz, Robert M United States 94,359,689 15.7% Leimer, Willi Kurt Austria 94,355,578 15.7% Leitch, Donald S United States 94,357,594 15.7% Lenowitz, Scott J United States 94,357,256 15.7% Levin, Debra J. United States 94,356,805 15.7% Levy, Thomas A United States 94,357,092 15.7% Levy, William D. United States 94,355,990 15.7% Lewis, Richard Graham United Kingdom 94,355,578 15.7% Lewis, William M, JR. United States 94,359,188 15.7% Liang, James L. United States 94,356,592 15.7% Lieblich, Steven United States 94,357,198 15.7% Lien, Michael Jown Leam Singapore 94,355,578 15.7% Likins, Jane United States 94,356,761 15.7% Lilly, Kevin J. United States 94,355,578 15.7% Lim, Chin Y Malaysia 94,356,394 15.7% Lim, Khoon-Min United States 94,355,655 15.7% Lindsay, Ian E. United Kingdom 94,356,762 15.7% Lipe, L. Alex Australia 94,355,578 15.7% Lippi, Marco Italy 94,356,398 15.7% Lippmann, Marianne J United States 94,357,246 15.7% Lipton, Stephen C. United Kingdom 94,357,033 15.7% Litt, Michael C. United States 94,356,513 15.7% Little, James W United States 94,357,115 15.7% Liu, Andrew Y.S. United Kingdom 94,359,145 15.7% Liu, Jialin China 94,356,469 15.7% - - -------------------------------------------------------------------------------------
15
- - ------------------------------------------------------------------------------------- Line 1 Line 6 Line 11 Line 13 - - ------------------------------------------------------------------------------------- Aggregate Percent of Class Amount Represented By Name Citizenship Beneficially Held Amount in Line 11 - - ------------------------------------------------------------------------------------- Liu, Theodore Em-Po United States 94,355,974 15.7% Lloyd, Charles E.G. United States 94,356,549 15.7% Loarie, Robert J. United States 94,357,003 15.7% Locosa, Laura E United States 94,357,478 15.7% Longley, Yvonne United Kingdom 94,355,578 15.7% Longo, Victoria A. United States 94,355,695 15.7% Lorentzen, Kent R. United States 94,361,462 15.7% Lourie, Jonathan H. United States 94,356,932 15.7% Lovoi, John V. United States 94,355,719 15.7% Lucaya, Jorge Spain 94,355,795 15.7% Lumpkins, David B D United States 94,356,193 15.7% Lutz, Merritt M. United States 94,355,962 15.7% Lyche, Iver United States 94,355,960 15.7% Lyles, Ray V, JR United States 94,358,338 15.7% Lynch, Elizabeth W. United States 94,357,279 15.7% Lynch, Patrick D. United States 94,355,578 15.7% Macchiaverna, Glenn J. United States 94,357,020 15.7% Macdonald, Gavin L United Kingdom 94,355,578 15.7% Macdonald, Robert Cumming United Kingdom 94,355,578 15.7% Macelwee, Elizabeth M. United States 94,355,959 15.7% Mack, Andrew John United Kingdom 94,355,578 15.7% Mack, John J United States 94,360,127 15.7% Mackenzie, Douglas F. United States 94,355,789 15.7% Mackin, John J United States 94,358,028 15.7% Magee, Steven G. United States 94,357,742 15.7% Maguire, J. Robert United States 94,357,718 15.7% Maguire, John F. United States 94,356,190 15.7% Mahon, James J. United States 94,357,704 15.7% Mahoney, James P United States 94,358,620 15.7% Mainey, Richard E. United States 94,356,011 15.7% Maiwald, Maryann K. United States 94,355,924 15.7% Malone, Christian B. United States 94,357,943 15.7% Mamdani, Mahmoud A. United States 94,357,711 15.7% Maner, William A., IV United States 94,356,931 15.7% Mangi, Joseph A. United States 94,357,843 15.7% Mangino, Gary J United States 94,357,686 15.7% Manley, James J. United States 94,355,924 15.7% Manson, Christopher J. J. United Kingdom 94,356,355 15.7% Mantz, Jay H. United States 94,356,107 15.7% Maratos, Jason G. Greece 94,355,578 15.7% Marcin, Robert J. United States 94,355,881 15.7% Margolis, Jeffrey United States 94,356,030 15.7% Marks, Kenneth R United States 94,358,782 15.7% Markwalter, John S., JR United States 94,357,292 15.7% Marren, John W. United States 94,355,578 15.7% Martin, M. Paul United States 94,357,553 15.7% Martinez, Lourdes Linden United States 94,357,789 15.7% Mason, Alexander Maurice Ireland 94,355,657 15.7% Masri, Jack Joseph United Kingdom 94,356,261 15.7% Massot, Sylvain P. France 94,356,904 15.7% Masucci, Ferdinand D. United States 94,358,292 15.7% Maxwell, Philip Moulton Australia 94,355,578 15.7% Mayer, Kimball P United States 94,357,391 15.7% Maynard, Daniel V. United States 94,357,193 15.7% Maynard, Walter, JR United States 94,358,252 15.7% - - -------------------------------------------------------------------------------------
16
- - -------------------------------------------------------------------------------------- Line 1 Line 6 Line 11 Line 13 - - -------------------------------------------------------------------------------------- Aggregate Percent of Class Amount Represented By Name Citizenship Beneficially Held Amount in Line 11 - - -------------------------------------------------------------------------------------- Mayoros, Alan E United States 94,357,505 15.7% Mazzilli, Paul J United States 94,358,315 15.7% Mazzucchelli, Marco G. Italy 94,355,578 15.7% Mcallister, Dean E United States 94,357,117 15.7% Mcarthur, James New Zealand 94,355,578 15.7% Mcbee, Phoebe United States 94,355,578 15.7% Mccombe, William D Australia 94,357,807 15.7% Mcconigley, Michael J. Ireland 94,358,194 15.7% Mcdade, John Wesley, JR. United States 94,355,912 15.7% Mcdonald, James W. United States 94,356,678 15.7% Mcdonnell, Gail P. United States 94,356,487 15.7% Mcdonough, Patrick J. United States 94,357,496 15.7% Mcgeehan, John D United States 94,357,716 15.7% Mcgill, James F. United States 94,355,578 15.7% Mcginnis, James P., JR. United States 94,356,099 15.7% Mcguinness, Nancy A. United States 94,356,175 15.7% Mchugh, Daniel United States 94,355,578 15.7% Mchugh, Florence Q. United States 94,356,313 15.7% Mcinerney, John J. United States 94,356,868 15.7% Mcinerney, Thomas J. United States 94,356,945 15.7% Mcintyre, John P, JR. United States 94,356,061 15.7% Mcmahon, Kevin A. United States 94,355,578 15.7% Mcmahon, William C United States 94,357,727 15.7% Mcvicker, Michael J. United States 94,356,416 15.7% Meeker, Mary G. United States 94,356,789 15.7% Melendez, Victoria T. United States 94,356,127 15.7% Memani, Krishna K. India 94,357,572 15.7% Memmott, David J. United States 94,355,578 15.7% Mena, Daniel T. United States 94,356,407 15.7% Menell, Mark S. United States 94,356,931 15.7% Merritt, Peter G. United States 94,357,183 15.7% Metzler, Robert A. United States 94,358,511 15.7% Meyer, Bruce A United States 94,362,319 15.7% Meyer, Joseph F. United States 94,357,744 15.7% Meyer, Robert L. United States 94,357,411 15.7% Miao, Eugene A. United States 94,357,473 15.7% Michnowich, Salvatore E United States 94,359,564 15.7% Micioni, Peter J. United States 94,357,150 15.7% Milias St. Peter, Mary Ann United States 94,355,924 15.7% Miller, Cathy Ann United States 94,357,331 15.7% Miller, Frederic A United States 94,357,422 15.7% Miller, Lyle D. United States 94,356,247 15.7% Miller, Paul S United States 94,357,990 15.7% Milunovich, Steven M. United States 94,357,036 15.7% Minicucci, Giuseppina Italy 94,355,875 15.7% Mirat, Pierre Jean Henri France 94,355,578 15.7% Missett, Bruce M. United States 94,357,813 15.7% Mitchell, Lawrence R., JR. United States 94,355,578 15.7% Mizen, Greg E United States 94,357,505 15.7% Moehlmann, Claus Christian Germany 94,355,578 15.7% Mole, Marie L. United States 94,357,320 15.7% Molloy, William S United States 94,359,188 15.7% Moniodes, Nicholas J. United States 94,357,229 15.7% Moonier, James F United States 94,357,562 15.7% Moore, David Neil United Kingdom 94,355,578 15.7% - - --------------------------------------------------------------------------------------
17
- - ------------------------------------------------------------------------------------- Line 1 Line 6 Line 11 Line 13 - - ------------------------------------------------------------------------------------- Aggregate Percent of Class Amount Represented By Name Citizenship Beneficially Held Amount in Line 11 - - ------------------------------------------------------------------------------------- Moore, Donald A., JR. United States 94,359,709 15.7% Moore, Duncan Charles Mcnaught United Kingdom 94,356,919 15.7% Moran, Matthew J. United States 94,356,780 15.7% More, Daniel B. United States 94,356,454 15.7% Morgan, David H United Kingdom 94,358,478 15.7% Morphett, Jonathan G. United States 94,358,270 15.7% Morrill, Caroline C. United States 94,355,578 15.7% Morris, Karen L. United States 94,355,578 15.7% Mortimer, Patrick J. United States 94,357,404 15.7% Moscati, Leonard F. United States 94,357,797 15.7% Moser, David S. United States 94,357,061 15.7% Mourre, Marc France 94,355,929 15.7% Mozer, Francine L United States 94,357,789 15.7% Mueller, John M, III United States 94,357,171 15.7% Muller, Peter United States 94,356,465 15.7% Muller, Thomas R United States 94,358,236 15.7% Mullin, Sean C.V. Canada 94,357,261 15.7% Munari, Andrea Italy 94,355,578 15.7% Munger, Stephen R United States 94,358,351 15.7% Murphy, Charles W. United States 94,357,336 15.7% Murphy, David J United States 94,357,861 15.7% Murphy, Devin I. United States 94,356,939 15.7% Murphy, Kevin C United States 94,357,622 15.7% Murray, Eileen K United States 94,358,257 15.7% Murray, Janet E. United Kingdom 94,356,493 15.7% Murray, Peter J. United Kingdom 94,356,917 15.7% Nadosy, Peter United States 94,359,866 15.7% Nagrani, Vikram United States 94,355,578 15.7% Nagrani, Vineet India 94,355,578 15.7% Nakada, Kenji Japan 94,367,745 15.7% Narang, Anil India 94,355,578 15.7% Nathan, J. Saul United Kingdom 94,355,578 15.7% Naylor, Margaret P. United Kingdom 94,357,010 15.7% Neamtu, Alexander United States 94,358,364 15.7% Needham, Peter A United States 94,358,808 15.7% Neuberger, Mark A. United States 94,357,063 15.7% Neubert, David L. C. United States 94,356,206 15.7% Neubohn, Naneen H. United States 94,358,841 15.7% Neuhaus, Kenneth M. United States 94,361,544 15.7% Neuwirth, David N. United States 94,357,345 15.7% Newcomb, Philip V United States 94,357,633 15.7% Newhouse, Stephan F United States 94,359,344 15.7% Newman, David F. United Kingdom 94,357,688 15.7% Newman, Patricia L United States 94,357,077 15.7% Ni Chathmhaoil, Aifric Ireland 94,355,667 15.7% Nickoll, Benjamin E. United States 94,355,787 15.7% Nicol, David United Kingdom 94,365,593 15.7% Niehaus, Christopher J. United States 94,357,962 15.7% Niehaus, Robert H United States 94,363,148 15.7% Nimkoff, Debra L. United States 94,357,269 15.7% Nosseir, Amr M. United States 94,357,096 15.7% Notley, Sean J. United Kingdom 94,358,820 15.7% Noujaim, Alexander J. United States 94,357,206 15.7% Nowlin, Kevin M. United States 94,355,670 15.7% O'Brien, Donald S. United States 94,357,805 15.7% - - -------------------------------------------------------------------------------------
18
- - -------------------------------------------------------------------------------------- Line 1 Line 6 Line 11 Line 13 - - -------------------------------------------------------------------------------------- Aggregate Percent of Class Amount Represented By Name Citizenship Beneficially Held Amount in Line 11 - - -------------------------------------------------------------------------------------- O'Brien, James M. United States 94,358,071 15.7% O'Brien, Paul F. United States 94,355,578 15.7% O'Connor, Stephen P. United Kingdom 94,356,025 15.7% O'Flynn, Thomas M. Canada 94,357,572 15.7% O'Friel, Mark L. United States 94,356,685 15.7% O'Hare, Michael T. United States 94,357,927 15.7% O'Keefe, William B. United States 94,358,379 15.7% O'Leary, William F United States 94,358,534 15.7% Oberlin, Dana M United States 94,357,516 15.7% Ocampo, Edward J. United States 94,357,120 15.7% Oelerich, Francis J, III United States 94,357,572 15.7% Olesky, Jonathan D United States 94,357,724 15.7% Olsen, Warren United States 94,358,119 15.7% Onuma, Takashi Japan 94,464,439 15.7% Orem, John R United States 94,357,389 15.7% Ormerod, Mark United Kingdom 94,359,524 15.7% Osbon, John F United States 94,356,934 15.7% Osborne, Nicholas D. United States 94,356,046 15.7% Overton, Ian M. United Kingdom 94,356,541 15.7% Oyarbide, Carlos Alfonso Spain 94,355,822 15.7% Pace, Joanne United States 94,356,432 15.7% Pace, Phillip Z. United States 94,355,711 15.7% Pagliari, Michael United Kingdom 94,356,965 15.7% Palmiotti, Joseph C United States 94,357,239 15.7% Pandit, Vikram S India 94,359,188 15.7% Panjwani, Raju H. United States 94,357,795 15.7% Pannell, Carol Amanda United Kingdom 94,355,677 15.7% Parent, Margaret M. United States 94,356,289 15.7% Parker, Kevin E. United States 94,358,399 15.7% Parr, Gary W. United States 94,356,275 15.7% Pasciucco, Gerard United States 94,357,604 15.7% Pate, Bruce A United States 94,356,746 15.7% Patel, Mukesh D United States 94,357,655 15.7% Patten, Veeswanaden R. Mauritius 94,355,578 15.7% Pavoncelli, Riccardo Italy 94,357,553 15.7% Pearson, Sharon E. United Kingdom 94,356,394 15.7% Pecori Giraldi, Galeazzo Italy 94,363,735 15.7% Pedde, Richard Canada 94,355,578 15.7% Pelgrift, James D. United States 94,359,533 15.7% Pellecchio, Ralph L United States 94,358,490 15.7% Pelosky, Robert J., JR. United States 94,356,954 15.7% Penington, Michael United Kingdom 94,356,393 15.7% Penney, David J. United States 94,355,752 15.7% Penwell, Stephen B. United States 94,357,041 15.7% Pereira, Ian C.T. Kenya 94,356,680 15.7% Pereira, Paulo C. Portugal 94,355,578 15.7% Perella, Joseph R. United States 94,356,503 15.7% Pernas, Alvaro Spain 94,356,470 15.7% Peskin, Michael W United States 94,355,807 15.7% Pest, Willie R. United States 94,355,787 15.7% Peterson, C. Scott United States 94,357,249 15.7% Peterson, Wayne D United States 94,357,625 15.7% Petery, Andras R United States 94,359,580 15.7% Petitgas, Franck R. France 94,356,137 15.7% Petri, Lawrence M. United States 94,357,828 15.7% - - --------------------------------------------------------------------------------------
19
- - -------------------------------------------------------------------------------------- Line 1 Line 6 Line 11 Line 13 - - -------------------------------------------------------------------------------------- Aggregate Percent of Class Amount Represented By Name Citizenship Beneficially Held Amount in Line 11 - - -------------------------------------------------------------------------------------- Petrick, Michael J. United States 94,357,368 15.7% Petrow, Christopher G. United States 94,357,741 15.7% Phillips, Charles E., JR United States 94,355,865 15.7% Phillips, Craig S. United States 94,356,427 15.7% Pipa, Andrew C. United States 94,357,711 15.7% Placentra, Daniel R. United States 94,357,350 15.7% Platt, Russell C. United States 94,357,615 15.7% Pochtar, Elaine N United States 94,358,404 15.7% Pokrzywinski, Jennifer A. United States 94,356,891 15.7% Polsky, Lisa K. United States 94,355,578 15.7% Pope, Patricia United States 94,356,863 15.7% Porat, Ruth M. United States 94,355,752 15.7% Porte, Thierry G United States 94,365,870 15.7% Portnow, Loren United States 94,355,941 15.7% Portogallo, Richard United States 94,357,917 15.7% Poulos, Perry United States 94,357,614 15.7% Poulton, Roger United Kingdom 94,357,825 15.7% Pratt, Frank T. United States 94,359,686 15.7% Prill, Patrick United States 94,355,802 15.7% Putcha, Ramakrishna N India 94,357,858 15.7% Putterman, Jules B United States 94,356,833 15.7% Quartner, Douglas M. United States 94,364,301 15.7% Query, James B., JR. United States 94,357,548 15.7% Rabin, Michael D. United States 94,356,736 15.7% Raettig, Lutz Germany 94,355,578 15.7% Raffel, Andreas Germany 94,356,134 15.7% Rahbany, Russell A. United States 94,355,809 15.7% Ramachandran, Narayan India 94,355,578 15.7% Ramakrishnan, Guru K. India 94,357,257 15.7% Rana, Aditya India 94,356,820 15.7% Randolph, Guy D, III United States 94,357,430 15.7% Rankin, Charles United Kingdom 94,355,937 15.7% Rankowitz, Andrew V. United States 94,357,252 15.7% Rankowitz, Michael L United States 94,358,429 15.7% Ratib, Ahmet V. Cyprus 94,355,578 15.7% Rault, Joseph M., III United States 94,358,797 15.7% Ravitz, Leslie C. United States 94,357,109 15.7% Reeke, Gail Hunt United States 94,361,516 15.7% Reese, Ronald R. United States 94,355,805 15.7% Refvik, Olav N. Norway 94,357,163 15.7% Reich, Christopher V. United States 94,356,124 15.7% Reicin, Glenn M. United States 94,356,274 15.7% Reid, William R. United States 94,356,767 15.7% Reilly, Christine I United States 94,358,549 15.7% Reilly, Timothy B United States 94,357,861 15.7% Reis, Norbert J. Germany 94,355,578 15.7% Remec, Marko C United States 94,358,158 15.7% Renehan, David United States 94,359,580 15.7% Renton, Stephen United Kingdom 94,363,077 15.7% Restaino, Paolo Anthony Italy 94,355,578 15.7% Retelny, Gary United States 94,355,805 15.7% Revelli, Paolo Italy 94,355,578 15.7% Reynolds, John R. United States 94,355,965 15.7% Rice, Mark R. United States 94,357,984 15.7% Richard, Scott F. United States 94,355,924 15.7% - - --------------------------------------------------------------------------------------
20
- - ------------------------------------------------------------------------------------- Line 1 Line 6 Line 11 Line 13 - - ------------------------------------------------------------------------------------- Aggregate Percent of Class Amount Represented By Name Citizenship Beneficially Held Amount in Line 11 - - ------------------------------------------------------------------------------------- Richardson, Gerald P United States 94,357,914 15.7% Riche, Eden Matthew United Kingdom 94,355,662 15.7% Richter, Maria Del Carmen Panama 94,356,403 15.7% Riefler, Linda H. United States 94,356,977 15.7% Riley, Thomas R United States 94,358,465 15.7% Roach, Stephen S United States 94,358,117 15.7% Robert, Marc Henri United States 94,356,539 15.7% Roberts, John A. United Kingdom 94,357,756 15.7% Robey, Simon C. United Kingdom 94,355,578 15.7% Robino, Christopher M. United States 94,357,086 15.7% Robinson, John D United States 94,357,609 15.7% Robson, Glenn R. United States 94,356,714 15.7% Rodman, Kevin L United States 94,357,836 15.7% Roessler, Gustavo S. United States 94,355,578 15.7% Roger, Robin United States 94,357,269 15.7% Rogers, Hartley R. United States 94,357,051 15.7% Rohde, Gregory John United States 94,357,069 15.7% Rolison, Leslie United States 94,355,578 15.7% Rollyson, Mikel M. United States 94,355,790 15.7% Rookwood, Mark S. United States 94,357,190 15.7% Root, Marshal E. United States 94,357,313 15.7% Rosenthal, Andrew United States 94,357,513 15.7% Rosenthal, Richard S. United States 94,357,934 15.7% Roth, Christian G. United States 94,355,881 15.7% Rothberg, Rei W. United States 94,357,140 15.7% Rowe, Tamsin E.E. United Kingdom 94,356,853 15.7% Rowley, Andrew F. United States 94,358,826 15.7% Runde, James A. United States 94,359,724 15.7% Russell, David A. United Kingdom 94,357,572 15.7% Ryan, Robert J. Canada 94,356,627 15.7% Ryder, Christopher J. United States 94,356,696 15.7% Sack, Judith B United States 94,356,825 15.7% Saito, Makoto Japan 94,421,476 15.7% Salant, Marshal L United States 94,358,158 15.7% Salisbury, William R. United States 94,356,030 15.7% Salmon, Robert E. United States 94,356,350 15.7% Salzman, Jeffrey H United States 94,359,686 15.7% Sama, Alok United States 94,357,496 15.7% Samuels, Michele M. United States 94,357,107 15.7% Sandberg, Bruce R. United States 94,357,901 15.7% Sandling, M. James, III United States 94,357,856 15.7% Sando, Gregg Stephen United States 94,355,914 15.7% Sandulli, Richard P. United States 94,355,719 15.7% Sargent, Robert A. United Kingdom 94,358,000 15.7% Sasaki, Mami Japan 94,366,731 15.7% Savage, Luke United Kingdom 94,355,578 15.7% Saveliff, James F. United States 94,357,440 15.7% Saxe, Jonathan K. United States 94,355,761 15.7% Saxe, Susan E. United States 94,357,795 15.7% Saxton, Thomas J. United States 94,357,419 15.7% Schaaff, Harold J, JR United States 94,357,622 15.7% Scheuer, Alan United States 94,356,228 15.7% Schiavo, Anthony United States 94,356,700 15.7% Schieffelin, Allison United States 94,357,185 15.7% Schlarbaum, Gary G. United States 94,355,924 15.7% - - -------------------------------------------------------------------------------------
21
- - -------------------------------------------------------------------------------------- Line 1 Line 6 Line 11 Line 13 - - -------------------------------------------------------------------------------------- Aggregate Percent of Class Amount Represented By Name Citizenship Beneficially Held Amount in Line 11 - - -------------------------------------------------------------------------------------- Schlesinger, Donald E United States 94,357,110 15.7% Schlueter, James B United States 94,357,528 15.7% Schmid, James D. United States 94,355,924 15.7% Schmitt, Dietmar R. Germany 94,355,578 15.7% Schneider, Walter B. United States 94,355,713 15.7% Schoen, Jon S. United States 94,356,259 15.7% Schuettler, Hans Joerg Germany 94,355,578 15.7% Schwartz, Richard C. United States 94,356,302 15.7% Scott, Andrew C. United States 94,358,369 15.7% Scott, Charles H United Kingdom 94,356,452 15.7% Scott, Robert G United States 94,360,127 15.7% Scowcroft, John A. United States 94,355,578 15.7% Scully, Robert W. United States 94,355,578 15.7% Scurletis, Dennis T. United States 94,355,825 15.7% Seah, Kiat Seng Singapore 94,355,578 15.7% Seery, Christopher S. United States 94,355,662 15.7% Seigel, Mark A United States 94,363,148 15.7% Seiler, Alex W. United States 94,355,871 15.7% Sekaran, Rajan United States 94,355,980 15.7% Serra, Loredana United States 94,355,904 15.7% Sethi, Vinod R India 94,357,096 15.7% Sexauer, Stephen C United States 94,357,538 15.7% Shah, Dhiren H United States 94,357,932 15.7% Shah, Pravin India 94,355,578 15.7% Shapiro, John A United States 94,358,709 15.7% Sharma, Sutesh K. United Kingdom 94,355,578 15.7% Shea, Dennis F. United States 94,360,094 15.7% Shear, Neal A United States 94,359,344 15.7% Shelton, John United Kingdom 94,357,100 15.7% Shelton, Richard David United States 94,357,102 15.7% Shen, Bing China 94,358,241 15.7% Shepardson, Robert M., III United States 94,356,945 15.7% Sherva, Dennis G United States 94,359,866 15.7% Shigenari, Yoshihiko Japan 94,357,173 15.7% Short, Marium A United States 94,357,967 15.7% Sica, Frank United States 94,359,344 15.7% Siklos, Eugene N. Canada 94,356,460 15.7% Silberstein, Thomas J. United States 94,355,802 15.7% Silver, Caroline Louise United Kingdom 94,355,578 15.7% Silver, Harry S. United States 94,356,756 15.7% Simonian, Jon D United States 94,367,651 15.7% Simpson, Justin S. Ireland 94,357,054 15.7% Sine, Jeffrey A. United States 94,358,114 15.7% Sipprelle, Dwight D United States 94,358,185 15.7% Sipprelle, Scott M. United States 94,357,261 15.7% Sitarz, Paul J United States 94,357,838 15.7% Skerritt, Susan E. United States 94,355,990 15.7% Skiba, Jack L United States 94,357,866 15.7% Skinner, Alistair E. United Kingdom 94,355,578 15.7% Sladkus, Mark H United States 94,357,820 15.7% Slaine, David R. United States 94,357,952 15.7% Slaughter, J. E. Hoke United States 94,356,817 15.7% Sless, Henry J United Kingdom 94,355,578 15.7% Slingo, Matthew Conway United Kingdom 94,355,578 15.7% Smalley, Robert Louis United States 94,356,016 15.7% - - --------------------------------------------------------------------------------------
22
- - -------------------------------------------------------------------------------------- Line 1 Line 6 Line 11 Line 13 - - -------------------------------------------------------------------------------------- Aggregate Percent of Class Amount Represented By Name Citizenship Beneficially Held Amount in Line 11 - - -------------------------------------------------------------------------------------- Smith, Charissa H. United States 94,357,678 15.7% Smith, Judith A. United States 94,358,627 15.7% Smith, Michael K United States 94,356,934 15.7% Smith, Palmer N. United States 94,356,612 15.7% Smith, Paul E United States 94,357,736 15.7% Smith, Peter R. G. United Kingdom 94,355,578 15.7% Smith, R. Bram United States 94,355,578 15.7% Smith, Robert M. United States 94,355,987 15.7% Smithson, Amanda L. D. United Kingdom 94,357,152 15.7% Sonnenborn, Monroe R United States 94,358,640 15.7% Sorrel, Lawrence B. United States 94,357,615 15.7% Soter, Arthur P. United States 94,359,297 15.7% Souter, Robert J. United Kingdom 94,356,445 15.7% Spector, Alvin H. United States 94,357,714 15.7% Spellman, Michael F United States 94,357,912 15.7% Spence, Anthony D United Kingdom 94,355,578 15.7% Spence, John F. United States 94,357,241 15.7% Spencer, Cordell G. Canada 94,357,190 15.7% Spingardi, Tomaso Italy 94,355,578 15.7% Spitzley, Ray L. United States 94,356,459 15.7% Sposito, Claudio Italy 94,355,691 15.7% Steele, Kenneth J. United Kingdom 94,355,578 15.7% Stein, Jens-Peter Germany 94,356,262 15.7% Steinberg, David L. United States 94,356,757 15.7% Steinman, Richard M. United States 94,357,241 15.7% Sternberg, Michael I. United States 94,355,754 15.7% Stewart, Colin R. United States 94,356,596 15.7% Stewart, John R United States 94,358,163 15.7% Stewart, Timothy Donald Australia 94,355,578 15.7% Stoltz, Murray C. United States 94,355,780 15.7% Stott, Peter United Kingdom 94,363,011 15.7% Strain, Clifton E. United States 94,356,295 15.7% Straus, John A. United States 94,358,325 15.7% Strong, William H. United States 94,356,873 15.7% Struble, K. Lynn Medlin United States 94,357,569 15.7% Studzinski, John J United States 94,368,421 15.7% Sturzenegger, Ronald D. United States 94,357,572 15.7% Stux, Ivan E United States 94,358,206 15.7% Stynes, James B United States 94,359,297 15.7% Suarez, Glen Patrick United Kingdom 94,355,832 15.7% Sullivan, Elaine May United Kingdom 94,355,675 15.7% Suzuki, Hirohiko Japan 94,360,179 15.7% Sweeney, Francis J United States 94,357,698 15.7% Swift, Richard W. United States 94,358,488 15.7% Szilasi, William J. United States 94,358,292 15.7% Taggart, Richard G United States 94,357,406 15.7% Takasugi, Tetsuo Japan 94,394,262 15.7% Talisse, Edward P. United States 94,357,483 15.7% Tan, Soo Hock Singapore 94,355,578 15.7% Tanner, James L United States 94,359,655 15.7% Taras, Raymond C United States 94,357,541 15.7% Tarika, Roger C United States 94,358,224 15.7% Taubman, Paul J. United States 94,357,736 15.7% Tell, Martin R. United States 94,357,356 15.7% Terreson, Douglas T. United States 94,355,789 15.7% - - --------------------------------------------------------------------------------------
23
- - -------------------------------------------------------------------------------------- Line 1 Line 6 Line 11 Line 13 - - -------------------------------------------------------------------------------------- Aggregate Percent of Class Amount Represented By Name Citizenship Beneficially Held Amount in Line 11 - - -------------------------------------------------------------------------------------- Tharnstrom, Charles A United States 94,357,520 15.7% Thees, Thomas M United States 94,357,982 15.7% Thivierge, Ann D. United States 94,357,173 15.7% Thomas, Owen D. United States 94,357,607 15.7% Thomas, Paul L United Kingdom 94,355,578 15.7% Thomas, Philip Michael United Kingdom 94,359,239 15.7% Thomas, Richard H. United Kingdom 94,359,818 15.7% Thompson, Darren S. United States 94,356,280 15.7% Thorman, Walter E United States 94,357,714 15.7% Tierney, Raymond M., III United States 94,356,056 15.7% Tilley, James A Canada 94,359,344 15.7% Timmins, David John United Kingdom 94,355,686 15.7% Tisdale, Andrew A. United States 94,356,714 15.7% Togut, David M. United States 94,355,578 15.7% Toldalagi, Paul M. United States 94,355,578 15.7% Tominaga, Hiroshi Japan 94,360,415 15.7% Topper, David J United States 94,358,351 15.7% Torop, Robert United States 94,357,496 15.7% Tory, Michael Alexander Canada 94,355,578 15.7% Towse, Robert C United States 94,359,188 15.7% Tracy, John M. United States 94,357,727 15.7% Trapp, Goran Par Sweden 94,357,148 15.7% Trauber, Stephen M United States 94,355,764 15.7% Trenchard, David F. United Kingdom 94,356,505 15.7% Truten, Lorraine United States 94,355,761 15.7% Tsai, Andrew S Hong Kong 94,355,578 15.7% Tufariello, Anthony B. United States 94,357,361 15.7% Turnbull, Michael G. United Kingdom 94,355,578 15.7% Twist, Carolyn M United Kingdom 94,357,011 15.7% Tynan, Brendan Timothy United Kingdom 94,364,249 15.7% Umlauf, Steven Richard United States 94,356,394 15.7% Upton, Nancy B United States 94,357,929 15.7% Uva, Michael D. United States 94,357,858 15.7% Vadala, Charles F., JR United States 94,358,330 15.7% Vaden, Andrew T. United States 94,357,638 15.7% Vale, Elizabeth A. United States 94,355,822 15.7% Valeiras, Horacio A. United States 94,355,924 15.7% Valencia, Edwin V. United States 94,357,292 15.7% Van Amson, George L. United States 94,356,450 15.7% Van Dyke, Henry, V United States 94,357,572 15.7% Van Nieuwenhuizen, Jan L Netherlands 94,356,160 15.7% Vandercar, Eric M. United States 94,357,444 15.7% Varoli, Corrado P Canada 94,357,219 15.7% Vaughan, Gregory V United States 94,356,934 15.7% Vial, Patrice Jacques France 94,355,578 15.7% Vogelsang, Peter R. United States 94,356,952 15.7% Von Nathusius, Friedrich Germany 94,355,578 15.7% Von Schroder, Benedikt Germany 94,357,112 15.7% Von Uffel, George Kurt United States 94,357,459 15.7% Vonderheide, Mark L. United States 94,356,350 15.7% Voreyer, Robert J. United States 94,357,406 15.7% Voute, Gustave A Netherlands 94,376,206 15.7% Vrcelj, Stevan Australia 94,355,578 15.7% Wadsworth, John S., JR United States 94,360,084 15.7% Wager, Malcolm United Kingdom 94,356,820 15.7% - - --------------------------------------------------------------------------------------
24
- - ------------------------------------------------------------------------------------- Line 1 Line 6 Line 11 Line 13 - - ------------------------------------------------------------------------------------- Aggregate Percent of Class Amount Represented By Name Citizenship Beneficially Held Amount in Line 11 - - ------------------------------------------------------------------------------------- Wagner, Glenn N. United States 94,356,955 15.7% Wahl, Frederick J United States 94,357,440 15.7% Wakamoto, Hidenori Japan 94,359,022 15.7% Walker, Sir David Alan United Kingdom 94,355,706 15.7% Wallace, Eileen S. United States 94,357,719 15.7% Walsh, Frederick R, JR. United States 94,359,503 15.7% Walsh, Mark K. United States 94,357,793 15.7% Walsh, Nelson S. United States 94,357,100 15.7% Wappler, William M. United States 94,356,305 15.7% Ward, J. Steven United Kingdom 94,578,328 15.8% Warren, David R. United States 94,356,231 15.7% Wasson, David F. United States 94,357,808 15.7% Waxman, Scott United States 94,356,851 15.7% Webley, John United Kingdom 94,357,577 15.7% Weiant, William M. United States 94,356,127 15.7% Weidner, Jan Germany 94,355,578 15.7% Weinhoffer, Joseph C. United States 94,355,665 15.7% Wellemeyer, John C. United States 94,359,943 15.7% Westerfield, John E. United States 94,356,731 15.7% Westerink, Erik J. Netherlands 94,355,680 15.7% Weston, Michael New Zealand 94,359,478 15.7% Whalen, Patrick J. United States 94,357,011 15.7% White, William H. United States 94,357,265 15.7% Whitehand, Robert C United Kingdom 94,380,057 15.7% Whittington, Marna C. United States 94,355,924 15.7% Wien, Byron R United States 94,359,580 15.7% Wilson, Kirk R United States 94,357,932 15.7% Windisch, Ronald L. United States 94,356,777 15.7% Winnington-Ingram, Rebecca United Kingdom 94,356,660 15.7% Winters, Philip W United States 94,358,358 15.7% Wipf, Thomas G. United States 94,357,704 15.7% Wiscomb, Thomas T. United States 94,357,764 15.7% Wolkowitz, Benjamin United States 94,360,881 15.7% Wong, David K. United States 94,357,072 15.7% Wood, Jerome C United States 94,358,581 15.7% Woolworth, Richard G, JR United States 94,358,488 15.7% Worley, Richard B. United States 94,355,578 15.7% Wotowicz, John S. United States 94,356,714 15.7% Wright, David C. United States 94,356,759 15.7% Wright, Lundy R. United States 94,357,331 15.7% Wright, William H., II United States 94,357,391 15.7% Wyman, Charles C. United States 94,355,578 15.7% Yaffe, Randy S. United States 94,357,711 15.7% Yamamoto, Takatoshi Japan 94,383,589 15.7% Yankou, Thomas J United States 94,357,336 15.7% Yates, Martin J United Kingdom 94,357,513 15.7% Yeoman, Roger United Kingdom 94,357,747 15.7% Yoshida, Hideo Japan 94,361,016 15.7% You, Harry L. United States 94,355,578 15.7% Young, Harrison United States 94,356,592 15.7% Yuki, Kohei Japan 94,368,014 15.7% Zager, Drew J. United States 94,356,787 15.7% Zaoui, Michael A. France 94,357,569 15.7% Zapico, Martin A. United Kingdom 94,357,727 15.7% Zaumseil, Brice W United States 94,357,323 15.7% - - -------------------------------------------------------------------------------------
25
- - ------------------------------------------------------------------------------------- Line 1 Line 6 Line 11 Line 13 - - ------------------------------------------------------------------------------------- Aggregate Percent of Class Amount Represented By Name Citizenship Beneficially Held Amount in Line 11 - - ------------------------------------------------------------------------------------- Zhang, Songyi Hong Kong 94,356,016 15.7% Zicherman, Joseph R United States 94,357,056 15.7% Zick, Alford E., JR United States 94,357,571 15.7% Ziegelbaum, Michael H. United States 94,355,578 15.7% Zimmermann, George A. United States 94,355,578 15.7% Zorn, Ernest P United States 94,357,609 15.7% Zuckert, Michael S. United States 94,357,732 15.7% - - -------------------------------------------------------------------------------------
26 ITEM 1. SECURITY AND ISSUER. ------------------- This statement relates to the Common Stock, par value $.01 per share (the "MSDWD Shares"), of Morgan Stanley, Dean Witter, Discover & Co., a Delaware corporation (the "Company"). The merger (the "Merger") of Morgan Stanley Group Inc. ("Morgan Stanley") with and into Dean Witter, Discover & Co. ("Dean Witter Discover") was effective as of May 31, 1997. Pursuant to the Merger, Dean Witter Discover, which is the surviving corporation of the Merger, changed its name to "Morgan Stanley, Dean Witter, Discover & Co." As a result of the Merger, each issued and outstanding share of Morgan Stanley common stock, par value $1.00 per share (the "MS Shares"), was converted (subject to certain exceptions) into 1.65 MSDWD Shares. The address of the principal executive office of the Company is 1585 Broadway, New York, New York 10036. ITEM 2. IDENTITY AND BACKGROUND. ----------------------- (a)-(c), (f) The cover sheets to this statement and Appendix A hereto contain the names of the persons (the "Reporting Persons") who beneficially own MSDWD Shares that are subject to the voting and any disposition restrictions set forth in (1) the employee Stockholders' Agreement and/or any of the Plan Agreements or (2) the MAS Agreements, all as described in Item 6, to which such persons are party to and on whose behalf this filing is made. The cover sheets to this statement and Appendix A provide the name, citizenship and aggregate amount beneficially held by each Reporting Person. The business address of each of the Reporting Persons is 1585 Broadway, New York, NY 10036. (d)-(e) No Reporting Person during the last five years has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or state securities laws or finding any violation with respect to such laws. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. ---------------------------- The MSDWD Shares held by the Reporting Persons are beneficially owned pursuant to one or more of the following: (1) Pursuant to the recapitalization (the "Recapitalization") effective February 14, 1986 in which holders of Morgan Stanley's then outstanding privately-held common stock and non-cumulative preferred stock received MS Shares, and holders of Morgan Stanley's outstanding $8 cumulative senior preferred stock received shares of $8 Cumulative Convertible Preferred Stock, stated value $100 per share (the "Convertible Preferred Shares"), all of which were subsequently converted into MS Shares (the MSDWD Shares beneficially owned by the Reporting Persons and resulting from the conversion in the Merger of MS Shares (including MS Shares previously received upon conversion of the Convertible Preferred Shares) that had been received by the Reporting Persons pursuant to the Recapitalization are referred to herein as "Recapitalization Shares"); 27 (2) Pursuant to participation in Morgan Stanley's 1986 Stock Option Plan (the "Option Plan"), Morgan Stanley's Performance Unit Plan (the "PUP Plan"), Morgan Stanley's 1988 Equity Incentive Compensation Plan (the "1988 Equity Incentive Plan"), Morgan Stanley's 1995 Equity Incentive Compensation Plan (the "1995 Equity Incentive Plan" and, together with the 1988 Equity Incentive Plan, the "Equity Incentive Plans") and/or the Morgan Stanley U.K. Group Profit Sharing Scheme (the "U.K. Profit Sharing Scheme") and/or similar employee benefit plans or arrangements (the Option Plan, the PUP Plan and the Equity Incentive Plans are referred to collectively as the "Plans", and the MSDWD Shares beneficially owned pursuant to participation in such Plans and the U.K. Profit Sharing Scheme being referred to herein as "Benefit Plan Shares"); (3) Pursuant to the acquisition of MS Shares (which were subsequently converted in the Merger into MSDWD Shares) as part of the purchase price paid to certain of the Reporting Persons (the "Former MAS General Partners") in respect of the sale on January 3, 1996 of their general partnership interests in Miller Anderson & Sherrerd, LLP, a Pennsylvania registered limited liability partnership ("MAS"), to Morgan Stanley Asset Management Holdings Inc., an indirect wholly-owned subsidiary of the Company ("MSAMHI") (such MSDWD Shares being referred to herein as the "MAS Shares"); and (4) Pursuant to privately negotiated or open market transactions (the MSDWD Shares beneficially owned pursuant to such transactions being referred to herein as "Separately Acquired Shares"). In addition, many of the Reporting Persons are participants in the Morgan Stanley Group Inc. and Subsidiaries Employee Stock Ownership Plan (the "ESOP"), under which they have been allocated shares of the Company's ESOP Convertible Preferred Stock (the "ESOP Stock") (including shares of Morgan Stanley ESOP Convertible Preferred Stock that were converted in the Merger into ESOP Stock). Shares of ESOP Stock are convertible into MSDWD Shares, and shares of ESOP Stock are entitled to vote on all matters submitted to a vote of the holders of MSDWD Shares, voting together with the holders of MSDWD Shares as one class, all as described more fully below. The MS Shares that were converted in the Merger into each Reporting Person's Recapitalization Shares, if any, were acquired in exchange for such Person's shares of Morgan Stanley's privately-held common stock and non-cumulative preferred stock and/or as a result of the conversion of the Convertible Preferred Shares; the MS Shares that were converted in the Merger into each Reporting Person's Benefit Plan Shares and shares of ESOP Stock, if any, were acquired pursuant to the terms of the Plans, the U.K. Profit Sharing Scheme and the ESOP in consideration of services rendered and, in the case of MSDWD Shares to be acquired pursuant to an exercise of options granted under a Plan, will be acquired by payment of the exercise price of the option; the MS Shares that were converted in the Merger into each Former MAS General Partner's MAS Shares were acquired as part of the purchase price paid in connection with the sale of their general partnership interests in MAS as described above; and the MS Shares that were converted in the Merger into each Reporting Person's Separately Acquired Shares, if any, were acquired by payment of personal funds or as a gift. 28 ITEM 4. PURPOSE OF TRANSACTION. ---------------------- RECAPITALIZATION SHARES The Recapitalization was effected as of February 14, 1986, and the Recapitalization Shares were acquired in order to facilitate an initial public offering of the MS Shares. Prior to the Recapitalization, the then Managing Directors and Principals of Morgan Stanley & Co. Incorporated, a subsidiary of the Company (and, at the time of the Recapitalization, a subsidiary of Morgan Stanley), owned all of Morgan Stanley's common stock. After the Recapitalization and the initial public offering of the MS Shares, such Managing Directors and Principals (as a group) owned approximately 79% of the MS Shares, the voting and disposition of which were subject to the Stockholders' Agreement (defined below in Item 6). The voting and disposition restrictions currently applicable to the Recapitalization Shares are discussed in Item 6. BENEFIT PLAN SHARES Subsequent to April 3, 1996 up to an aggregate of 87,466,484 MS Shares corresponding to 144,319,698 MSDWD Shares following the Merger, were authorized for issuance pursuant to the 1995 Equity Incentive Plan. Awards may no longer be granted under the Option Plan, the PUP Plan and the 1988 Equity Incentive Plan, although MSDWD Shares beneficially owned pursuant to such plans (as a result of the conversion of MS Shares in the Merger) remain outstanding. Each of the Plans is administered by the Compensation Committee of the Board of Directors (the "Compensation Committee"), which selects the particular eligible persons who will receive awards under the Plans and determines the size and terms of such awards. All members of the Compensation Committee are outside directors. OPTION PLAN The purpose of the Option Plan is to provide an incentive to certain Managing Directors, Principals, officers, key employees and consultants of the Company and its subsidiaries ("Certain Personnel") to remain in the employ of the Company and such subsidiaries and to increase their interest in the success of the Company by offering them an opportunity to obtain a proprietary interest in the Company through the grant of options to purchase MS Shares (all options outstanding at the time of the Merger having been converted into options to purchase MSDWD Shares). The Option Plan provides for the issuance of incentive stock options which meet the requirements of Section 422 of the Internal Revenue Code of 1986, as amended (the "Code"), options that are not qualified under the Code and stock appreciation rights. Only nonqualified options have been granted under the Option Plan ("SOP Options"). Awards were granted under the Option Plan from 1986-1988; awards may no longer be granted under the Option Plan. The exercise price of an SOP Option was not permitted to be less than 100% of the fair market value of the MS Shares subject to the SOP Option as of the grant date, as determined by the Compensation Committee. An SOP Option became exercisable at a rate of one-third of the number of MS Shares covered by such option grant after each of the first three anniversaries of the date of 29 grant, unless the Compensation Committee otherwise provides. All SOP Options are currently exercisable and required to expire within 10 years and one day of the date of grant. The individual option agreement entered into by any Reporting Person pursuant to the Option Plan contains restrictions on voting of any MS Shares (or following the Merger, MSDWD Shares) acquired pursuant to the Option Plan discussed in Item 6. PUP PLAN The purpose of the PUP Plan is to benefit and advance the interests of the Company and its subsidiaries by rewarding Certain Personnel for their contributions to the financial success of the Company and thereby motivate them to continue to make such contributions in the future by awarding performance units (the "Performance Units") whose value was determined by reference to earnings per share of the MS Shares over a stated period of time. Awards were granted under the PUP Plan from 1986-1988; awards may no longer be granted under the PUP Plan. The value of a Performance Unit is equal to Morgan Stanley's consolidated earnings per share (as determined by the Compensation Committee in accordance with the terms of the PUP Plan) during the period commencing on the first date of Morgan Stanley's fiscal quarter which includes the date as of which a Performance Unit was awarded (the "Base Date") and ending on the earlier of (i) the last day of Morgan Stanley's fiscal year which includes the date on which such Performance Unit was awarded and (ii) the last day of Morgan Stanley's fiscal quarter in which a participant's employment is terminated by reason of death, long-term disability or retirement, or to such other date as is determined by the Compensation Committee (the "Valuation Date"). After the value of Performance Units was determined, such value generally was distributed to the recipient in equal installments on or as soon as practicable following each of the first and second anniversaries of the Valuation Date. The PUP Plan provides that 50% of each installment of such value is paid in MS Shares, and the balance is paid in cash, although the Compensation Committee may increase the percentage paid in cash or in MS Shares. All MS Shares paid to participants in the PUP Plan were converted into MSDWD Shares in the Merger. The individual PUP Plan agreement entered into by a Reporting Person pursuant to the PUP Plan contains restrictions on voting and disposition of any MSDWD Shares acquired as discussed in Item 6. EQUITY INCENTIVE PLANS The purpose of the Equity Incentive Plans is to attract, retain and motivate Certain Personnel, to compensate them for their contributions to the growth and profits of the Company and to encourage ownership by them of MS Shares (or, following the Merger, MSDWD Shares). Under the 1995 Equity Incentive Plan the following individuals are also eligible to receive awards: nonemployee directors of subsidiaries of the Company; employees and consultants of joint ventures, partnerships or similar business organizations in which the Company has an equity or similar interest; and former employees or former consultants of the Company and of such joint 30 ventures, partnerships or similar business organizations. The 1995 Equity Incentive Plan was adopted in accordance with the requirements of Section 162(m) of the Code. Awards under the Equity Incentive Plans may be in the form of (i) stock awards consisting of one or more MSDWD Shares granted or offered for sale to eligible individuals ("Restricted Shares"), (ii) stock units which are settled by delivery of MSDWD Shares ("Stock Units") and/or (iii) nonqualified options to purchase MSDWD Shares ("EIP Options"). Awards under the 1995 Equity Incentive Plan may also be in the form of incentive stock options, stock appreciation rights and other forms of equity-based or equity-related awards as determined by the Compensation Committee; to date, these types of awards have not been granted. MSDWD Shares issued pursuant to the Equity Incentive Plans may, in the discretion of the Compensation Committee, be made subject to the same voting restrictions that are set forth in the Stockholders' Agreement and in the Plan Agreements (as defined in Item 6). Awards under the Equity Incentive Plans may, in the discretion of the Compensation Committee, be made in substitution for cash or other compensation payable to an eligible individual. The Compensation Committee may establish rules pursuant to which an eligible individual may elect to receive one form of award in lieu of any other form of award, or may elect to receive additional awards in lieu of some or all of the cash portion of his compensation. An EIP Option entitles the participant to acquire a specified number of MSDWD Shares at an exercise price as determined by the Compensation Committee. The exercise price may be paid in cash or MSDWD Shares or a combination thereof. The Compensation Committee has also authorized a "cashless" exercise procedure that affords participants the opportunity to sell immediately some or all of the MSDWD Shares underlying the unexercised portion of an EIP Option in order to generate sufficient cash to pay the exercise price and/or to satisfy withholding tax obligations related to the EIP Option. EIP Options expire not later than ten years from the date of award. Awards were granted under the 1988 Equity Incentive Plan from 1988-1996; awards may no longer be granted under the 1988 Equity Incentive Plan. No awards shall be made under the 1995 Equity Incentive Plan after April 3, 2006 or, in the case of incentive stock options, November 28, 2005. U.K. PROFIT SHARING SCHEME MSDWD Shares purchased on behalf of certain Reporting Persons pursuant to the U.K. Profit Sharing Scheme are purchased with profit-sharing awards and are held pursuant to the terms of the U.K. Profit Sharing Scheme for investment purposes. Such MSDWD Shares are not subject to the restrictions on voting and disposition contained in the Stockholders' Agreement. MAS SHARES The acquisition of MAS by MSAMHI (together with two of its affiliates) was effected on January 3, 1996, and the MAS Shares were acquired by the Former MAS General Partners as part of the purchase price paid in connection with the sale of their general partnership interests in MAS. The voting and disposition of the MAS Shares are subject to the MAS Agreements (as defined 31 in Item 6). The voting and disposition and other restrictions currently applicable to the MAS Shares are discussed in Item 6. SEPARATELY ACQUIRED SHARES Separately Acquired Shares are held by Reporting Persons for investment purposes. Such MSDWD Shares are not subject to the restrictions on voting and disposition contained in the Stockholders' Agreement or the Plan Agreements. ESOP STOCK Shares of ESOP Stock are allocated to each participant in the ESOP on December 31 in each year. Each share of ESOP Stock is convertible into MSDWD Shares by the trustee of the ESOP at any time prior to the date fixed for redemption of the ESOP Stock at a conversion rate of one share of ESOP Stock to 3.3 MSDWD Shares, which rate is subject to adjustment. The ESOP Stock is redeemable at the Company's option at $35.88 per share (subject to adjustment) plus accrued dividends at any time after September 19, 2000 and prior thereto under certain circumstances at specified prices. The Company may pay the redemption price of the ESOP Stock in cash, in MSDWD Shares or a combination thereof. Neither ESOP Stock nor MSDWD Shares issued to participants in the ESOP are subject to the restrictions on voting and disposition contained in the Stockholders' Agreement or the Plan Agreements. * * * Except for (i) the possible acquisition from time to time of additional Separately Acquired Shares for investment purposes and (ii) the acquisition of MSDWD Shares issued by the Company in the ordinary course of business pursuant to the Plans and the U.K. Profit Sharing Scheme, none of the Reporting Persons has any plans or proposals which relate to or would result in their acquisition of additional MSDWD Shares. Subject to the restrictions described in Item 6, dispositions of MSDWD Shares by Reporting Persons may be made from time to time pursuant to (i) Rule 144 under the Securities Act of 1933, as amended (the "Act"), (ii) a registration statement filed under the Act or (iii) any available exemption from registration under the Act, and in accordance with the individual investment objectives of the Reporting Person disposing of such MSDWD Shares. Except as previously described in this Item 4, the Reporting Persons as a group do not have any plans or proposals that relate to or would result in any of the matters described in subparagraphs (a)-(j) of Item 4 of Schedule 13D. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. ------------------------------------ (a) Items (11) and (13) of the cover page for each of the Reporting Persons are hereby incorporated by reference. As of the date of this report, the Reporting Persons as a group may be deemed to beneficially own an aggregate of 94,355,578 MSDWD Shares, or approximately 15.7% of the total MSDWD Shares outstanding (585,664,437). The Reporting Persons as a group hereby 32 disclaim beneficial ownership of any MSDWD Shares held by any Reporting Person as to which such Reporting Person has sole voting and dispositive power. Each Reporting Person hereby disclaims beneficial ownership of any MSDWD Shares which may be deemed to be beneficially owned by other Reporting Persons as members of a group. Except as described in Schedule I, no Reporting Person has the right to acquire MSDWD Shares within 60 days from the date hereof. (b) Items (7) - (10) of the cover page or the information provided on Appendix A for each of the Reporting Persons are hereby incorporated by reference. (c) No Reporting Person has effected any transactions in any MSDWD Shares during the past 60 days. (d) None. (e) Not applicable. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. ---------------------------------------- Reporting Persons who own Recapitalization Shares have entered into a Stockholders' Agreement dated as of February 14, 1986 (the "Stockholders' Agreement") (Exhibits A and B hereto) which contains restrictions regarding the voting and disposition of the Recapitalization Shares. Pursuant to the terms of the Plans, the Compensation Committee has required that certain participants in such Plans enter into agreements that place restrictions on the voting and disposition of MSDWD Shares acquired pursuant to such Plans similar to those restrictions set forth in the Stockholders' Agreement. Reference is hereby made to the terms of the agreements or certificates that impose such restrictions pursuant to the Plans (collectively, the "Plan Agreements"), the forms of which are included as Exhibits H, I , J, K and L. Reporting Persons who own MAS Shares have entered into a Purchase Agreement dated as of June 29, 1995, as amended (the "MAS Purchase Agreement"), the relevant provisions of which relating to transfer and other restrictions with respect to the MAS Shares are described under "MAS Shares" below, and have executed (or agreed to become subject to) voting agreements (the "MAS Voting Agreements" (substantially in the form of Exhibit L hereto) and collectively with the MAS Purchase Agreement, the "MAS Agreements"), that place restrictions on voting and disposition of the MAS Shares that are substantially similar to restrictions contained in the Plan Agreements. The following descriptions are qualified in their entirety by reference to the Stockholders' Agreement, the Plan Agreements and the MAS Voting Agreements. VOTING RESTRICTIONS AND ARRANGEMENTS Each of the individuals listed on the cover pages to this report and Appendix A hereto is a party to one or more of the Stockholders' Agreement and the Plan Agreements and, in the case of the Former MAS General Partners, the MAS Agreements. Pursuant to the voting restrictions contained in the Stockholders' Agreement, the Plan Agreements and the MAS Voting Agreements, the Reporting Persons, prior to any vote of the stockholders of the Company at a meeting called 33 with respect to any corporate action or before action is taken by written consent, may vote all MSDWD Shares subject to the voting restrictions in a preliminary vote in such manner as each Reporting Person may determine in his sole discretion (the "Preliminary Vote"). At the subsequent stockholders' meeting or in connection with any action taken by written consent, the Reporting Persons must then vote all such MSDWD Shares on the matter at issue in accordance with the vote of the majority of the MSDWD Shares present and voting in the Preliminary Vote. Reporting Persons who cease to be employed by the Company or any of its subsidiaries on or prior to the date of the Preliminary Vote do not participate in and are not bound by the Preliminary Vote. Recipients of Restricted Shares under the Equity Incentive Plans are entitled to exercise voting rights with respect to the MSDWD Shares underlying such awards upon receipt of such awards. On March 6, 1991 the Company established a trust (the "Trust") pursuant to the Trust Agreement between the Company and State Street Bank and Trust Company, as Trustee (the "Trustee"), dated March 5, 1991 (the "Trust Agreement") (Exhibits M, N and O) pursuant to which the MSDWD Shares that correspond to Stock Units are placed in the Trust pending vesting and conversion. Subject to the Company's right to amend or terminate the Trust at any time, the terms of the Trust Agreement permit the active employees of the Company who are holders of Stock Units (other than Certain Personnel in certain non-U.S. jurisdictions as described below) to direct the vote of the MSDWD Shares held in the Trust for purposes of the Preliminary Vote. In accordance with the terms of the Voting Agreement between the Trustee and the Company dated March 5, 1991 (Exhibit P), the Trustee has the obligation to vote the MSDWD Shares held in the Trust (including MSDWD Shares corresponding to Stock Units held by former employees, who do not participate in the Preliminary Vote) in accordance with the result of the Preliminary Vote. Holders of ESOP Stock are entitled to vote on all matters submitted to a vote of the holders of MSDWD Shares, voting together with the holders of MSDWD Shares as one class. Each share of ESOP Stock is entitled to the number of votes equal to 1.35 times the number of MSDWD Shares into which such share of ESOP Stock could be converted on the record date for such vote. Each Reporting Person who is a participant in the ESOP has the ability to instruct the trustee of the ESOP how to vote the shares of ESOP Stock allocated to his account. In addition, unallocated shares of ESOP Stock are voted by the trustee on a pro rata basis with the instructions received with respect to the allocated ESOP Stock. RESTRICTIONS ON DISPOSITION AND OTHER ARRANGEMENTS RECAPITALIZATION SHARES, PUP PLAN The Stockholders' Agreement presently permits each Reporting Person that is a party thereto to dispose of Recapitalization Shares and/or MSDWD Shares acquired pursuant to the PUP Plan (together with the Recapitalization Shares, "Total Restricted Stock") in the following amounts: % of Total Restricted Stock Age at Date of Sale Permitted to be Sold ------------------- ------------------------ 35 through 38 10% 39 through 42 Additional 10% 43 through 46 Additional 10% 47 through 49 Additional 10% 50 and above Additional 10% 34 If a Reporting Person ceases to be an employee of the Company or any of its subsidiaries, the Stockholders' Agreement permits such Reporting Person to dispose of his Recapitalization Shares without restriction. Reporting Persons may dispose of their Total Restricted Stock Shares at any time, in any amount regardless of the foregoing restrictions, with the consent of the Board of Directors of the Company. MSDWD Shares issued to recipients under the PUP Plan and under the jurisdiction of the United Kingdom, are not subject to voting or disposition restrictions. EQUITY INCENTIVE PLANS A participant will vest in any Restricted Shares, Stock Units or EIP Options, the restrictions on the transferability of Restricted Shares will lapse, Stock Units will convert into MSDWD Shares, and any EIP Options awarded will become exercisable, all in accordance with a schedule established by the Compensation Committee. The Compensation Committee may, however, accelerate the vesting of any award, the lapse of restrictions on the transferability of any Restricted Shares, the date on which Stock Units convert into MSDWD Shares and the date on which any EIP Option first becomes exercisable. Prior to vesting and the lapse of restrictions on transferability, none of the awards under the Equity Incentive Plans may be sold, assigned, exchanged or transferred, pledged, hypothecated or otherwise disposed of or encumbered. Certain awards under the Equity Incentive Plans, whether vested or unvested, are also subject to forfeiture in circumstances specified by the Compensation Committee. Recipients of Restricted Shares are entitled to receive dividends with respect to MSDWD Shares underlying such awards upon receipt of such awards. Recipients of Stock Units are entitled to receive dividend equivalent amounts prior to receipt of MSDWD Shares. The Company may require a participant to pay a sum to the Company or, pursuant to reduced MSDWD Share delivery provisions, the Company may retain the number of MSDWD Shares having an equivalent value as may be necessary to cover any taxes or charges imposed with respect to property or income received by a participant pursuant to the Equity Incentive Plans. In addition, upon conversion of Stock Units into MSDWD Shares or exercise of EIP Options, the Company may withhold a number of MSDWD Shares sufficient to satisfy any obligation a participant owes to the Company resulting from any payment made on the participant's behalf under the tax equalization program for expatriate employees. Under the terms of awards made under the 1995 Equity Incentive Plan, upon payment of an award of Stock Units or exercise of EIP Options, the Company may withhold a number of MSDWD Shares sufficient to satisfy any obligation an award recipient owes the Company. From time to time the Compensation Committee has adopted certain additional and/or different terms and conditions for the grant of Restricted Shares and Stock Units to Certain Personnel in certain non-U.S. jurisdictions (including to Japanese local employees or expatriates working in Japan) to permit such persons to qualify for favorable tax treatment under, or otherwise to comply with, the laws of such non-U.S. jurisdictions. In such cases the Company may not issue MSDWD Shares corresponding to Stock Units and recipients may not have the ability to vote or the underlying MSDWD Shares may not be subject to the restrictions on voting described under "Voting Restrictions and Arrangements" above. The Compensation Committee also has adopted certain additional and/or different terms and conditions for the grant of EIP Options to Certain 35 Personnel in certain non-U.S. jurisdictions in order to permit such persons to qualify for favorable tax treatment under the laws of such non-U.S. jurisdictions. U.K. PROFIT SHARING SCHEME The U.K. Profit Sharing Scheme provides that MSDWD Shares awarded to the participants are held by a trustee in the name and on behalf of each participant for a period of two years from the date of such award (the "Retention Period"). Each participant is fully vested in, and is the beneficial owner of, the MSDWD Shares held on his behalf as of the award date of the MSDWD Shares. During the Retention Period, a participant may not assign, pledge or otherwise dispose of such MSDWD Shares; however, a participant is able to instruct the trustee how to vote such MSDWD Shares on his behalf. MAS SHARES The MAS Shares are subject to the following transfer and other restrictions under the MAS Purchase Agreement. The MAS Shares issued to each Former MAS General Partner generally vest in accordance with the following vesting schedule: (i) one-sixth of such shares vested on January 3, 1996 (the "MAS Closing Date"); and (ii) one-sixth of such shares shall vest on each of the next five succeeding anniversaries of the MAS Closing Date (each date referred to in this clause (ii), a "Vesting Date"); provided, that no shares registered in the name of any Former MAS General Partner shall vest on any Vesting Date unless such Former MAS General Partner is actively employed by Morgan Stanley Asset Management Inc. ("MSAM") on such Vesting Date pursuant to an employment agreement with MSAM, unless such failure to be so employed is (a) as a result of such Former MAS General Partner's death or disability, or (b) as a result of the termination of such Former MAS General Partner's employment by MSAM without "Cause" or by the Former MAS General Partner for "Good Reason," as such terms are defined in such employment agreement. Notwithstanding the foregoing, in the case described in clause (b) of the foregoing proviso, the continued vesting of shares as aforesaid shall be subject to the Former MAS General Partner's continued compliance with the noncompetition, nonsolicitation and confidentiality provisions of his or her employment agreement with MSAM for a period of one year from the date of termination of employment, or if shorter, for a period from the date of termination of employment to December 1, 2000. If the Former MAS General Partner does not comply continuously with the provisions for such period, any remaining unvested shares shall be forfeited as of the date of the first failure to so comply. Any shares so vested shall thereafter be free of any such vesting requirements, and any shares which are so forfeited shall be returned to the Company. Prior to vesting, all MAS Shares shall be nontransferable. Sales of vested MAS Shares by a Former MAS General Partner will also be subject to the Company's internal rules and policies applicable from time to time with respect to MSDWD Shares held by officers of the Company or its affiliates. In accordance with the MAS Voting Agreements, so long as a MAS General Partner is an employee of the Company or any of its subsidiaries, such MAS General Partner will be subject to 36 the voting restrictions and procedures described in the first paragraph under "Voting Restrictions and Arrangements" above in this Item 6. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. -------------------------------- Certain of the following exhibits, as indicated parenthetically, were previously filed as exhibits to registration statements or reports filed by Morgan Stanley under the Securities Act of 1933 or the Securities Exchange Act of 1934, respectively, or reports filed by the Reporting Persons under the Securities Exchange Act of 1934, and are hereby incorporated by reference to such statements or reports. Exhibit A Stockholders' Agreement dated February 14, 1986 among certain Reporting Persons and Morgan Stanley (Morgan Stanley's Annual Report on Form 10-K for the fiscal year ended January 31, 1993). Exhibit B Form of Consent and Amendment dated as of January 31, 1996 between Morgan Stanley and certain signatories to the Stockholders' Agreement referred to in Exhibit A (Morgan Stanley's Annual Report on Form 10-K for the fiscal period ended November 30, 1995). Exhibit C Morgan Stanley Group Inc. 1986 Stock Option Plan, as amended and restated to date (Morgan Stanley's Annual Report on Form 10-K for the fiscal year ended January 31, 1993). Exhibit D Morgan Stanley Group Inc. Performance Unit Plan, as amended and restated to date (Morgan Stanley's Annual Report on Form 10-K for the fiscal year ended January 31, 1993). Exhibit E Morgan Stanley Group Inc. 1988 Equity Incentive Compensation Plan, as amended and restated to date (Morgan Stanley's Annual Report on Form 10-K for the fiscal year ended January 31, 1993). Exhibit F Morgan Stanley Group Inc. 1995 Equity Incentive Compensation Plan (Morgan Stanley's Proxy Statement for 1996 Meeting of Stockholders). Exhibit G Trust Deed and Rules of the Morgan Stanley International Profit Sharing Scheme (approved under the Finance Act 1978 as amended), dated 12 November, 1987, of Morgan Stanley Group Inc., Morgan Stanley International and Noble Lowndes Settlement Trustees Limited (Morgan Stanley's Annual Report on Form 10-K for the fiscal year ended January 31, 1993). Exhibit H Form of Nonqualified Stock Option Agreement Under the Morgan Stanley Group Inc. 1986 Stock Option Plan (Morgan Stanley's Registration Statement on Form S-8 (No. 33-42464)). Exhibit I Form of Award Agreement Under the Morgan Stanley Group Inc. Performance Unit Plan (Morgan Stanley's Registration Statement on Form S-8 (No. 33-42464)). 37 Exhibit J Form of Stock Unit Certificate Under the Morgan Stanley Group Inc. 1988 Equity Incentive Compensation Plan (previously filed as Exhibit V with Amendment No. 5 to the Reporting Persons' Schedule 13D dated December 31, 1990 relating to MS Shares). Exhibit K Form of Stock Option Certificate Under the Morgan Stanley Group Inc. 1988 Equity Incentive Compensation Plan (previously filed as Exhibit W with Amendment No. 5 to the Reporting Persons' Schedule 13D dated December 31, 1990 relating to MS Shares). Exhibit L Form of Voting Agreement Under the Morgan Stanley Group Inc. 1988 Equity Incentive Compensation Plan (previously filed as Exhibit X with Amendment No. 5 to the Reporting Persons' Schedule 13D dated December 31, 1990 relating to MS Shares). Exhibit M Trust Agreement between Morgan Stanley and State Street Bank and Trust Company dated March 5, 1991 (Morgan Stanley's Annual Report on Form 10-K for the fiscal year ended January 31, 1993). Exhibit N First Amendment to Trust Agreement dated April 3, 1996 between Morgan Stanley and State Street Bank and Trust Company (Morgan Stanley's Annual Report on Form 10-K for the fiscal year ended November 30, 1996). Exhibit O Second Amendment to Trust Agreement dated May 31, 1997 between the Company and State Street Bank and Trust Company.* Exhibit P Voting Agreement among Morgan Stanley, State Street Bank and Trust Company and Other Persons Signing Similar Agreements dated March 5, 1991 (Morgan Stanley's Annual Report on Form 10-K for the fiscal year ended January 31, 1993). - - ------------ * Filed herewith. 38 Schedule I RIGHTS TO ACQUIRE MSDWD SHARES ------------------------------ As of August 8, 1997 (60 days from June 9, 1997), 1,218 Reporting Persons have the right to acquire 14,855,968 MSDWD Shares pursuant to the exercise of options. No Reporting Person individually has options presently exercisable covering more than 1% of the MSDWD Shares outstanding as of the date hereof. After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: June 9, 1997 By: /s/ Ralph L. Pellecchio ------------------------- Ralph L. Pellecchio Attorney-in-Fact 39 EX-99.(O) 2 SECOND AMENDMENT TO TRUST AGREEMENT DATED SECOND AMENDMENT TO TRUST AGREEMENT This Amendment Agreement, made as of this 31st day of May, 1997, by and between Morgan Stanley, Dean Witter, Discover & Co. and State Street Bank and Trust Company, a Massachusetts trust company (the "Trustee"). R E C I T A L S: - - - - - - - - WHEREAS, Morgan Stanley Group Inc. ("Morgan Stanley Group") and the Trustee entered into a Trust Agreement, dated as of March 5, 1991(the "Trust Agreement"; terms used herein without definition shall have the meanings ascribed to such terms in the Trust Agreement); and WHEREAS, pursuant to the Amended and Restated Agreement and Plan of Merger, dated as of April 10, 1997 between Morgan Stanley Group and Dean Witter, Discover & Co., a Delaware Corporation ("Dean Witter, Discover"), Morgan Stanley Group was merged with and into Dean Witter, Discover on May 31, 1997, with the surviving corporation of such merger being known as Morgan Stanley, Dean Witter, Discover & Co. ("MSDWD"); WHEREAS, by operation of law, effective as of May 31, 1997, MSDWD has succeeded to all of the rights and obligations of Morgan Stanley Group including without limitation all of Morgan Stanley Group's rights and obligations under the Trust Agreement, the Trust and the Plan; WHEREAS, MSDWD desires to amend the Trust Agreement to reflect the merger of Morgan Stanley Group with and into Dean Witter, Discover and the succession by MSDWD of all of the rights and obligations of Morgan Stanley Group thereunder; 40 NOW, THEREFORE, for good and valuable consideration, MSDWD and the Trustee hereby agree as follows: 1. The introductory paragraph to the Trust Agreement is amended by deleting the name "Morgan Stanley Group Inc." contained therein and substituting therefor the name "Morgan Stanley, Dean Witter, Discover & Co.", and all references to the "Company" which appear thereafter in the Trust Agreement shall be deemed to refer to MSDWD. 2. The first recital contained in the Trust Agreement is amended by deleting the words "Morgan Stanley Group Inc. common stock, par value $1.00 per share" contained therein and substituting therefor "Morgan Stanley, Dean Witter, Discover & Co. common stock, par value $.01 per share," and all references to the "Common Stock" which appear thereafter in the Trust Agreement shall be deemed to refer to the common stock, par value $.01 per share, of MSDWD. 3. The second recital contained in the Trust Agreement is amended by deleting the names "Morgan Stanley & Co. Incorporated, Morgan Stanley International Incorporated, Morgan Stanley & Co. International Limited and Morgan Stanley Securities Services, Inc." contained therein and substituting therefor the words "any subsidiary of the Company any of whose employees are, as of the relevant date of determination, Participants in the Plan". 4. All references to "this Agreement," "herein," "hereunder," or words of like import contained in the Trust Agreement shall be references to the Trust Agreement as amended by this Amendment. 5. Except as expressly amended hereby, the Trust Agreement shall remain in full force and effect. All actions taken consistent with this Amendment prior to the date hereof are hereby approved, confirmed and ratified in all respects. IN WITNESS WHEREOF, MSDWD and the Trustee have executed this Amendment Agreement as of the date first above written. MORGAN STANLEY, DEAN WITTER, DISCOVER & CO. By: _________________________________ STATE STREET BANK AND TRUST COMPANY By: _________________________________ 41 -----END PRIVACY-ENHANCED MESSAGE-----